SUSTAINABLE MANAGEMENT OF TROPICAL FORESTS PRIVATE SECTOR EXPERIENCES
Case Studies Presentation
SUSTAINABLE MANAGEMENT OF TROPICAL FORESTS PRIVATE SECTOR EXPERIENCES Regional Reports for the African, Asia-Pacific and Latin American-Caribbean Regions
Editors
B.C.Y. Freezailah, H. Mohd Basri, M. I. Shaharuddin, C. C. Chandrasekharan, S. E. Wilson and I. Tomaselli
VOLUME 2
VOLUME 2
Jointly sponsored by
Forestry Department Peninsular Malaysia & International Tropical Timber Organisation (ITTO)
SUSTAINABLE MANAGEMENT OF TROPICAL FORESTS PRIVATE SECTOR EXPERIENCES Regional Reports for the African, Asia-Pacific and Latin American-Caribbean Regions
SUSTAINABLE MANAGEMENT OF TROPICAL FORESTS PRIVATE SECTOR EXPERIENCES Regional Reports for the African, Asia-Pacific and Latin American-Caribbean Regions
Proceedings of the International Conference Kuala Lumpur, Malaysia 13-15 April 2004
VOLUME II
Editors B. C. Y. Freezailah, H. Mohd Basri, M. I. Shaharuddin, C. C. Chandrasekharan, S. E. Wilson and I. Tomaselli
Jointly organised and sponsored by
Forestry Department Peninsular Malaysia & International Tropical Timber Organisation (ITTO)
© Forestry Department Peninsular Malaysia September 2004 All enquiries regarding this book should be forwarded to: Director General of Forestry Forestry Department Headquarters Peninsular Malaysia Jalan Sultan Salahuddin 50660 Kuala Lumpur Malaysia Tel Fax Website
: 603 2698 8244 : 603 2692 5657 : www.forestry.gov.my
Perpustakaan Malaysia Cataloguing-in-Publication Data International Conference (2004 : Kuala Lumpur) Sustainable management of tropical forests : private sector Experiences : regional reports for the African, Asia-Pacific and Latin-Caribbean Regions : proceedings of the International Conference, Kuala Lumpur, Malaysia, 13-15 April 2004 ; jointly organized and sponsored by Forest Department Peninsular Malaysia & International Tropical Timber Organization. ISBN 983-9269-31-3 (v.II) 1. Sustainable forestry--Congresses. 2 Forest management --Congresses. 3. Forest and forestry—Congresses. 3. Forest and forestry – Congresses. I. Malaysia. Jabatan Perhutanan. II. International Tropical Timber Organization. III. Title. 634.9068 No part of this publication may be reproduced or transmitted in any form or by any means, whether mechanical or electronic including photocopying and recording without the written consent of Forestry Department Peninsular Malaysia
CONTENTS CONTENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .V LIST OF TABLES AND BOXES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .XIII LIST OF FIGURES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .XV ABBREVIATION AND ACRONYMS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .XVI ACKNOWLEDGEMENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .XX
SESSION 1 – AFRICA Chairman: M. Esano
REGIONAL REPORT ON PRIVATE SECTOR EXPERIENCES IN SUSTAINABLE FOREST MANAGEMENT IN THE AFRICAN REGION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3 RAPPORT REGIONAL SUR LES EXPERIENCES DU SECTEUR PRIVE EN MATIERE D’AMENAGEMENT FORESTIER DURABLE DANS LA REGION AFRIQUE INFORME REGIONAL SOBRE LAS EXPERIENCIAS DEL SECTOR PRIVADO EN MATERIA DE ORDENACIÓN FORESTAL SOSTENIBLE EN LA REGIÓN AFRICANA E. Siisi-Wilson
EXECUTIVE SUMMARY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3 INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3 Objectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3 Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3 Sustainable Forest Management (SFM) concepts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3 The Private Sector in Forestry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4 The Regional Forestry Situation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4 The Role/Place of the Private Sector in Investing for Sustainable Forest Development . . . . . . . . . . . . .5 PROJECT FINDINGS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5 FIRST PART OF THE SURVEY – Q500 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6 Integration of Activities and Value Addition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6 Human Resource Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7 Neglect of Non-Wood Forest Products (NWFPs) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7 Differing Standards of Silvicultural Management and Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .8 Research and Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .8 Knowledge About C&I, Minimum Acceptable Standards, etc. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9 Socio-Economic Sustainability vs. Environmental Sustainability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9 THE SECOND PART OF THE STUDY – QS2 CASE ANALYSIS . . . . . . . . . . . . . . . . . . . . . . . . . . . . .10 Brief Characteristics of the Case Studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .10 CONCLUSIONS AND RECOMMENDATIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .14 Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .14 Recommendations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .15 RESUME ANALYTIQUE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .16 INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .16 Généralités . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .16 Objectifs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .16 Méthodologie . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .16 Les concepts d’aménagement forestier durable (AFD) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .16 v
Le secteur privé dans la foresterie . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .17 La situation régionale de la foresterie . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .17 Le rôle ou la place du secteur privé dans l’investissement pour la mise en valeur durable des forêts 18 RÉSULTATS DU PROJET . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .18 PREMIÈRE PARTIE DE L’ENQUÊTE – Q500 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .19 Caractère des entreprises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .19 Instabilité du régime foncier . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .19 Intégration des activités et valeur ajoutée . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .19 Développement des ressources humaines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .20 Négligence des produits forestiers non ligneux (PFNL) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .20 Différences des normes sylvicoles et du contrôle des forêts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .21 Connaissance des C&I, des normes minimales acceptables, etc. . . . . . . . . . . . . . . . . . . . . . . . . . . . . .22 Durabilité socio-économique et durabilité environnementale . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .22 SECONDE PARTIE DE L’ÉTUDE DE CAS – QS2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .23 Bref exposé des caractéristiques des études de cas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .23 CONCLUSIONS ET RECOMMANDATIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .28 Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .28 Recommandations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .28 RESUMEN ANALÍTICO . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .29 INTRODUCCIÓN . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .29 Generalidades . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .29 Objetivos . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .29 Metodología . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .29 Conceptos de la ordenación forestal sostenible (OFS) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .30 El sector privado en la actividad forestal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .30 La situación forestal regional . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .30 El rol o lugar del sector privado en las inversiones para el desarrollo forestal sostenible . . . . . . . . . . .31 RESULTADOS DEL PROYECTO . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .31 PRIMERA ETAPA DE LA ENCUESTA – Q500 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .32 Integración de actividades y valor agregado . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .33 Falta de atención a los productos forestales no maderables (PFNM) . . . . . . . . . . . . . . . . . . . . . . . . . .34 Diferentes niveles de control y tratamiento silvícola . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .34 Investigación y desarrollo . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .35 Conocimientos sobre C&I, niveles mínimos aceptables, etc. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .35 Sustentabilidad socioeconómica vs. sustentabilidad ambiental . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .36 SEGUNDA PARTE DEL ESTUDIO: QS2 – ANÁLISIS DE CASOS . . . . . . . . . . . . . . . . . . . . . . . . . . .36 Breve caracterización de los casos estudiados . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .37 CONCLUSIONES Y RECOMENDACIONES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .41 Conclusiones . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .41 Recomendaciones . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .42 1.0 1.1 1.2 1.3 2.0 3.0 4.0 4.1
INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .43 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .43 Objectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .44 Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .44 CONCEPT OF SUSTAINABLE DEVELOPMENT AND SUSTAINABLE FOREST MANAGEMENT .45 PRIVATE SECTOR IN FORESTRY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .49 THE REGIONAL FORESTRY SITUATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .53 Forest Cover . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .53
vi
4.2 4.3 4.4 4.5 4.6 4.7 5.0 5.1 5.2 6.0 6.1 6.2 6.3 6.4 6.5 6.6 7.0 7.1 7.2 8.0
Regional Round Log Production . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .54 Deforestation and Forest Degradation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .55 Investments in Sustainable Forestry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .57 Effectiveness (or otherwise) of Policy Measures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .58 The Role/Place of the Private Sector in Investing for Sustainable Forest Development . . . . . . .59 Brief characteristics of forestry situation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .61 PROJECT FINDINGS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .66 The First Part of The Survey- Q 500 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .68 The Second Stage of the Survey (QS2) Case Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .86 MAJOR ISSUES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .100 Governance and Related Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .100 Technical and ScientificIssues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .102 Trade Related Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .104 Institutional Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .105 Environmental Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .107 Social Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .107 CONCLUSIONS AND RECOMMENDATIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .109 Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .109 Recommendations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .110 REFERENCES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .111
ANNEX 1. ANNEX 2. ANNEX 3. ANNEX 4.
CASE STUDIES OF COMPANIES & ORGANISATIONS . . . . . . . . . . . . . . . . . . . . . . . . .115 Q500 SURVEY FORM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .137 QS2 PROPOSED FORMAT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .141 SOME Q500 RESPONSE CHARTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .143
SESSION II – ASIA-PACIFIC Chairman: Richard B. McCarthy
REGIONAL REPORT ON PRIVATE SECTOR EXPERIENCES IN SUSTAINABLE FOREST MANAGEMENT IN THE ASIA-PACIFIC REGION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .149 RAPPORT REGIONAL SUR LES EXPERIENCES DU SECTEUR PRIVE EN MATIERE D’AMENAGEMENT FORESTIER DURABLE DANS LA REGION ASIE-PACIFIQUE INFORME REGIONAL SOBRE LAS EXPERIENCIAS DEL SECTOR PRIVADO EN MATERIA DE ORDENACIÓN FORESTAL SOSTENIBLE EN LA REGIÓN DE ASIA-PACÍFICO C. Chandrasekharan
EXECUTIVE SUMMARY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .149 Scope of the Study . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .149 Sustainable Forest Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .149 Project Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .150 Survey . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .150 Screening for QS2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .151 Variety of Cases Chosen . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .151 Regional Forestry Situation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .152 Changes in Forest Areas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .153 Situation of ITTO Producer Member Countries in the Asia Pacific Region . . . . . . . . . . . . . . . . . . . . .153 The Cases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .155
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The Indian Cases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .155 The Indonesian Cases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .156 The Malaysian Cases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .159 The Papua New Guinea Cases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .160 The Philippine Case . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .162 The Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .162 Findings and Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .163 RESUME ANALYTIQUE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .163 Portée de l’étude . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .163 Aménagement forestier durable (AFD) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .163 Activités du projet . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .165 Enquête Q500 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .165 Sélection pour QS2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .166 Diversité des cas sélectionnés . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .166 Situation régionale des forêts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .167 Situation des pays membres producteurs de l’OIBT dans la région Asie-Pacifique . . . . . . . . . . . . . .168 Les cas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .170 Les cas de l’Inde . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .170 Les cas indonésiens . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .171 Les cas Malaysiens . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .174 Les cas de Papouasie-Nouvelle-Guinée . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .175 Le cas des Philippines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .177 Les questions qui se posent . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .178 Résultats et conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .179 RESUMEN ANALÍTICO . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .179 Alcance del estudio . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .179 Ordenación forestal sostenible . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .179 Actividades del proyecto . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .181 Encuesta Q500 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .181 Preselección para el QS2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .182 Diversidad de los casos seleccionados . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .182 Situación forestal en la región . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .183 Evolución de la cobertura boscosa . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .184 Situación de los países miembros productores de la OIMT en la región de Asia-Pacífico . . . . . . . . .184 Los casos estudiados . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .186 Los casos de la India . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .186 Los casos de Indonesia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .188 Los casos de Malasia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .190 Los casos de Papua Nueva Guinea . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .191 El caso de Filipinas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .193 Los problemas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .194 Resultados y conclusiones . . . . . . . . . . . . . . . . . . . . . . . . . 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1.0 1.1 2.0 2.1 2.2 2.3 3.0 3.1 3.2 4.0 4.1 4.2 4.3 4.4 4.5 4.6 4.7 5.0 5.1 5.2 5.3 5.4 5.5 5.6 5.7 6.0 6.1 6.2 6.3 7.0 7.1 7.2 8.0 8.1 8.2 8.3 8.4 8.5 8.6 8.7 8.8 9.0 10.0
BACKGROUND . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .196 The Context . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .196 CONCEPTUAL ASPECTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .197 Sustainable Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .198 Sustainable Forest Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .199 Sustainable Forestry Development – The Dynamic Dimension . . . . . . . . . . . . . . . . . . . . . . . . .203 PRIVATE SECTOR IN FORESTRY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .208 Forest Resource Ownership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .208 Private Sector In Forest Resource Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .210 REGIONAL FORESTRY SITUATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .212 Forest Cover Details . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .213 Changes in Forest Area . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .214 Logging Bans in Natural Forests . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .219 New Priority for Plantation Forestry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .219 Management for Efficient Use . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .220 Outlook and Potential . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .221 Other Relevant Aspects of Regional Forestry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .221 PROFILES OF ITTO PRODUCER MEMBER COUNTRIES IN THE REGION . . . . . . . . . . . . .222 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .222 Socio-Economic Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .222 Forest Resource Endowment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .223 Conservation Aspects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .227 Wood Production and Trade . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .227 Forest Concessions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .228 Country Profiles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .228 Q500 SURVEY ANALYSIS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .281 The Questionnaire Survey . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .281 Analysis of Responses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .283 Findings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .291 ANALYSIS OF CASE STUDIES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .292 Selection of Cases for Stage 2 (QS2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .292 Summary of Case Studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .294 SYNTHESIS OF MAJOR ISSUES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .325 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .325 Governance Related Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .326 Issues Related to Science and Technology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .327 Trade-Related Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .329 Institutional Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .330 Environmental Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .331 Socio-Economic Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .332 Overarching Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .333 CONCLUSIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .334 BIBLIOGRAPHY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .335
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SESSION III – LATIN AMERICA-CARIBBEAN Chairman: F. Pastore
REGIONAL REPORT ON PRIVATE SECTOR EXPERIENCES IN SUSTAINABLE FOREST MANAGEMENT IN THE LATIN AMERICAN-CARIBBEAN REGION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .341 RAPPORT REGIONAL SUR LES EXPERIENCES DU SECTEUR PRIVE EN MATIERE D’AMENAGEMENT FORESTIER DURABLE DANS LA REGION D’AMERIQUE LATINE-CARAIBES INFORME REGIONAL SOBRE LAS EXPERIENCIAS DEL SECTOR PRIVADO EN MATERIA DE ORDENACIÓN FORESTAL SOSTENIBLE EN LA REGIÓN DE AMÉRICA LATINA-CARIBE I. Tomaselli
EXECUTIVE SUMMARY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .341 INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .341 CONCEPT OF SUSTAINABLE DEVELOPMENT AND SFM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .341 Definitions and Dimensions in the Latin America-Caribbean Region . . . . . . . . . . . . . . . . . . . . . . . . . .341 Criteria and Indicators for SFM and Certification/Ecolabelling Initiatives . . . . . . . . . . . . . . . . . . . . . . .342 REGIONAL FORESTRY SITUATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .342 Forest Cover . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .342 Tropical Log Production . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .342 Deforestation and their Causes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .343 Area under Protection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .343 Private Sector Involvement in sfm . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .343 Forest Policy and Legislation for SFM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .343 Incentives and Financing Mechanisms for sfm . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .344 PROJECT FINDINGS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .344 1st Stage – Q500 Questionnaire . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .344 2nd Stage – Q20 Questionnaire . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .346 3rd Stage – Case Studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .346 MAJOR ISSUES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .350 Governance Related Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .350 Technical and Scientific Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .353 Trade and Economic Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .354 CONCLUSIONS AND RECOMMENDATIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .356 Legal Framework and Progress Towards SFM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .356 RESUME ANALYTIQUE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .359 INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .359 CONCEPTS DE DÉVELOPPEMENT DURABLE ET D’AFD . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .359 Définitions Et Dimensions Dans La Région D’amérique Latine-Caraïbes . . . . . . . . . . . . . . . . . . . . . .359 Critères Et Indicateurs De L’afd Et Initiatives De Certification/Éco-Étiquetage . . . . . . . . . . . . . . . . . .360 SITUATION REGIONALE DE LA FORESTERIE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .361 Couverture Forestiere . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .361 Production De Grumes Tropicales . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .361 Le Déboisement Et Ses Causes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .361 Aires Sous Protection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .361 Participation Du Secteur Prive A L’afd . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .361 Politique Et Législation Forestieres Relatives A L’afd . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .362 Incitations Et Mécanismes Pour Le Financement De L’afd . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .362
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RÉSULTATS DU PROJET . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .362 Premier Questionnaire – Étape Q500 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .362 Second Questionnaire – Etape Q20 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .364 Troisieme Etape – Etudes De Cas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .364 QUESTIONS PRINCIPALES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .369 Questions De Gouvernance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .369 Questions Techniques Et Scientifiques . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .372 Questions Commerciales Et Économiques . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .374 CONCLUSIONS ET RECOMMANDATIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .376 Cadre juridique et progrès vers l’AFD . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .376 RESUMEN ANALÍTICO . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .379 INTRODUCCIÓN . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .379 EL CONCEPTO DEL DESARROLLO SOSTENIBLE Y LA OFS . . . . . . . . . . . . . . . . . . . . . . . . . . . .380 Definiciones Y Dimensiones De La Región De América Latina Y El Caribe . . . . . . . . . . . . . . . . . . . .380 Criterios E Indicadores Para La Ofs E Iniciativas De Certificación /Etiquetado Ecológico . . . . . . . . .380 SITUACIÓN FORESTAL REGIONAL . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .381 Cobertura Boscosa . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .381 Producción De Madera En Troza Tropical . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .381 La Deforestación Y Sus Causas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .382 Áreas Protegidas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .382 Participación Del Sector Privado En La Ofs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .382 Políticas Y Leyes Forestales Orientadas A La Ofs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .382 Incentivos Y Mecanismos De Financiación Para La Ofs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .383 RESULTADOS DEL PROYECTO . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .383 Primera Etapa – Cuestionario Q500 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .383 Segunda Etapa – Cuestionario Q20 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .385 Tercera Etapa – Estudios De Casos . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .385 ASPECTOS PRINCIPALES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .390 Aspectos Relativos A La Gobernabilidad . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .390 Aspectos Técnicos Y Científicos . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .393 Aspectos Comerciales Y Económicos . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .395 CONCLUSIONES Y RECOMENDACIONES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .397 Marco jurídico y progreso hacia la OFS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .397 1.0 1.1 1.2 1.3 2.0 2.1 2.2 2.3 2.4 3.0 3.1 3.2 3.3 3.4 3.5 3.6
INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .401 Project Background and Objectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .401 Project Stages . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .401 Report Coverage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .402 CONCEPT OF SUSTAINABLE DEVELOPMENT AND SFM . . . . . . . . . . . . . . . . . . . . . . . . . . .402 Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .402 Dimensions and Confusions in the Latin America-Caribbean Region . . . . . . . . . . . . . . . . . . . . .403 Criteria and Indicators for sfm . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .404 Certification and Ecolabelling Initiatives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .406 REGIONAL FORESTRY SITUATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .410 Forest Cover . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .410 Tropical Log Production . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .411 Deforestation and their Causes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .412 Area under Protection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .414 Stakeholders in sfm . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .415 Private Sector Involvement in sfm . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .417 xi
3.7 3.8 4.0 4.1 4.2 4.3 5.0 5.1 5.2 5.3 5.4 6.0 6.1 6.2 7.0
Forest Policy and Legislation for SFM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .420 Incentives and Financing Mechanisms for sfm . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .424 PROJECT FINDINGS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .425 1st Stage Survey (Q500) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .425 2nd Stage (Q20) Case Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .432 3rd Stage – Case Studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .433 MAJOR ISSUES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .437 General Aspects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .437 Governance Related Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .438 Technical and Scientific Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .443 Trade and Economic Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .445 CONCLUSIONS AND RECOMMENDATIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .448 Legal Framework and Progress Towards SFM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .448 Private Sector and SFM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .449 READINGS/REFERENCES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .452
ANNEX 1. SURVEY RESULTS (Q500 QUESTIONNAIRES) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .457 ANNEX 2. Q20 QUESTIONNAIRE (PORTUEGESE VERSION) . . . . . . . . . . . . . . . . . . . . . . . . . . . . .469
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LIST OF TABLES AND BOXES SESSION 1 – AFRICA Table A. Q500 and QS2 survey questionnaire results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5 Tableau A. Résultats des questionnaires Q500 et QS2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .18 Cuadro A. Se muestran las respuestas y resultados de las encuestas Q500 y QS2 . . . . . . . . . . . .32 Table 4.1. Forest resources & management of ITTO member countries in the Central African Sub-region . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .53 Table 4.2. Forest resources and management of ITTO member countries in the West African Sub-region . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .54 Table 4.3. Round log production in the African ITTO producer member countries . . . . . . . . . . . . . .55 Table 4.4A. Forest cover loss in the ITTO producer member countries in the Central African Sub-region (1990-2000) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .55 Table 4.4B. Forest cover loss in the itto producer member countries in the West African Sub-region (1990-2000) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .56 Table 4.5 A. Forest logging companies concession areas in Cameroon . . . . . . . . . . . . . . . . . . . . . . . .60 Table 4.5B. Forest logging companies concession areas in Gabon . . . . . . . . . . . . . . . . . . . . . . . . . . .60 Box 5.1. Registered/Authorised private sector forest enterprise/ Organisation operating in the ITTO African producer member countries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .67 Table 5.1. Q500 and QS2 survey questionnaire results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .68 Table 5.2. Definition of core management activities for the FMUs of Rougier-gabon’s forest concessions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .98
SESSION II – ASIA-PACIFIC Regional Distribution of Forest Area, 2000 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .153 Forest Area Cover Change in Asia and Oceania, 1990-2000 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .153 Répartition régionale des forêts, 2000 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .167 Evolution de la superficie couverte de forêt en Asie et Océanie, 1990-2000 . . . . . . . . . . . . . . . . . . . .168 Distribución regional de la superficie forestal, 2000 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .183 Evolución de la cobertura boscosa de Asia y Oceanía, 1990-2000 . . . . . . . . . . . . . . . . . . . . . . . . . . .184 Table 1. Examples of forest ownership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .209 Table 2. Regional distribution of forest area, 2000 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .214 Table 3. Annual gross and net changes in forest area, 1990-2000 . . . . . . . . . . . . . . . . . . . . . . . . . .214 Table 4. Forest area cover change in Asia and Oceania, 1990-2000 . . . . . . . . . . . . . . . . . . . . . . . .215 Table 5. Socio-Economic indicators of ITTO producer member countries in the Asia Pacific region . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .224 Table 6. Forestry situation in the producing member countries of ITTO in the Asia-Pacific region, year 2000 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .225 Table 7. Forest plantation area in ITTO producer member countries in the Asia-Pacific region, 2000 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .225 Table 8. Change in forest (Natural forests and plantations) cover in ITTO producer member countries in the Asia-Pacific region, 1999 – 2000 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .226 Table 9. Forest management and environmental Information on ITTO producer member countries, 2000 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .229 Table 10. Wood production and utilization in ITTO producer member countries in the Asia-Pacific region, 1990-2000 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .230 Table 11. Reported production of manufactured wood products (million units) in Indonesia . . . . . . .247 Table 12. Distribution and extent of major forest types in Malaysia, 2001 (million ha) . . . . . . . . . . . .251
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Table 13. Table 14. Table 15. Table 16.
Number of wood based processing units, Philippines, 1977 – 2000 . . . . . . . . . . . . . . . . . .274 Q 500 – Response rate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .282 Companies identified for stage 2 study . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .294 Characteristic features of the cases studied in the Asia-Pacific region . . . . . . . . . . . . . . . .299
SESSION III – LATIN AMERICA-CARIBBEAN Table 1. Responses obtained to the Q500 by ITTO producer member countries in the Latin America-Caribbean region . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .344 Tableau 1. Réponses au Q500 obtenues des pays membres producteurs OIBT dans la région d’Amérique latine-Caraïbes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .363 Cuadro 01.Respuestas al cuestionario Q500 recibidas de los países miembros productores de la OIMT en la región de América Latina /Caribe . . . . . . . . . . . . . . . . . . . .384 Table 2.1. ITTO’s criteria for sustainable forest management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .405 Source: Simula et al, adapted by STCP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .406 Table 2.2. FSC principles for forest management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .407 Table 2.3. Forest areas certified by FSC in ITTO producer countries in the Latin America-Caribbean region (2003) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .408 Table 2.4. CERFLOR principles for certification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .409 Box 3.1. The importance of mahogany to the peruvian economy . . . . . . . . . . . . . . . . . . . . . . . . . .410 Table 3.1. Total land area and forest cover of the countries in the Latin America-Caribbean Region (2000) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .411 Table 3.2. Change in forest area of the ITTO producer countries in the Latin America-Caribbean region (1990–2000) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .412 Box 3.2. Deforestation and illegal logging in Ecuador . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .413 Table 3.3. Magnitude of the protected area in the ITTO producer countries in the Latin America-Caribbean region (1998) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .414 Box 3.3. Umucumaque National Park – The largest conservation unity of tropical forest in the world . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .415 Box 3.4. Institutionalised stakeholder dialogue in peru . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .416 Box 3.5. Forest concession in Peru . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .418 Table 4.1. Q500 sent to the ITTO’s producer member countries in Latin America-Caribbean . . . . . .426 Table 4.2. Q500 reminders sent to ITTO’s producer member countries in Latin America-Caribbean . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .427
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LIST OF FIGURES SESSION 1 – AFRICA FIG. 1.1. A Regional map of Africa showing the nine ITTO producer member countries . . . . . . . . .45 FIG. 5.2. A Regional map of Africa showing the location of the five case study companies . . . . . . .89
SESSION II – ASIA-PACIFIC Figure 1. Perceptions of forest management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .204 Figure 2. Flow diagram – Problem tree . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .217 Figure 3. Details of forest plantation area in ITTO producer member countries in the Asia-Pacific region, 1980 – 2000 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .225 Figure 4. Details of forest cover in ITTO producer member countries in the Asia-Pacific region . .226 Figure 5. Q500 – Response rate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .282 Figure 6. Distribution of companies which responded to Q 500 by ownership . . . . . . . . . . . . . . . .283 Figure 7. Companies reporting adoption of sustainable forestry practices . . . . . . . . . . . . . . . . . . .284 Figure 8. Status of responding companies with regard to integration with industries . . . . . . . . . . .284 Figure. 9. Distribution of responding companies by size of holdings . . . . . . . . . . . . . . . . . . . . . . . .284 Figure 10. Details of accidents reported by responding companies, 1999/2000 . . . . . . . . . . . . . . . .285 Figure 11. Round log production reported by responding companies . . . . . . . . . . . . . . . . . . . . . . . .285 Figure 12. Production of processed wood products by responding companies . . . . . . . . . . . . . . . . .286 Figure 13. Management of non-wood forest products by responding companies . . . . . . . . . . . . . . .286 Figure 14. Number of responding companies providing forest services . . . . . . . . . . . . . . . . . . . . . .286 Figure 15. Number of responding companies having forest management planning system . . . . . . .287 Figure 16. Different forest types being managed by responding companies . . . . . . . . . . . . . . . . . . .287 Figure 17. Management systems being practiced by responding companies . . . . . . . . . . . . . . . . . .288 Figure 18. Standards and controls in forest management adopted by responding companies . . . . .288 Figure 19. Existence of harvesting plan and systems in the responding companies . . . . . . . . . . . .289 Figure 20. Practice of silvicultural operations in responding companies . . . . . . . . . . . . . . . . . . . . . .289 Figure 21. Bio-diversity status in responding companies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .290 Figure 22. Social issues and contributions of responding companies . . . . . . . . . . . . . . . . . . . . . . . .290 Figure 23. Security and law enforcement situation in the responding companies . . . . . . . . . . . . . . .290 Figure 24. R&D activities in the responding companies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .291 Figure 25. Forest certification in responding companies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .291 Figure 26. QS2 selection flow chart . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .292 SESSION III – LATIN AMERICA-CARIBBEAN Figure 1.1. Figure 2.1. Figure 2.2. Figure 3.1. Figure 3.2.
ITTO Producer countries in the Latin America-Caribbean region covered by this report 402 Certified forests in the world (2002) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .406 Evolution of the global forest areas certified by FSC . . . . . . . . . . . . . . . . . . . . . . . . . . . .408 Global tropical log production by ITTO producer regions . . . . . . . . . . . . . . . . . . . . . . . . .411 Distribution of tropical log production by the ITTO producer countries in the Latin America-Caribbean region (2002) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .412 Figure 4.1. Selected companies for stage 2 – Q20 questionnaire . . . . . . . . . . . . . . . . . . . . . . . . . . .432
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ABBREVIATION AND ACRONYMS % AAC ABNT ACA ACT Adat ADB ADIE ANAM Anon APFD APU ATFS ATIBT ATO BNDES BOLFOR BRL C&I CBO CBV CDM CEFDHAC CERFLOR CFV CIB CIFOR CITES COC/CoC COHDEFOR Cum DBH/dbh DENR DFID DINAF EGP EMBRAPA ENGO EU FAO FD FDS FFT FJ FLAG FLEGT FMA FMU
Percentage Annual Allowable Cut Brazilian Association of Technical Standards Annual Cutting Area Amazon Co-operation Treaty Traditional or Customary Law Asian Development Bank Association pour le Développement de l’Information Environnemental National Environment Authority of Panama Anonymous Andhra Pradesh Forest Department (in India) Annual Production Unit American Tree Farm System Scheme International Technical Association of Tropical Timber African Timber Organisation National Bank for Economic and Social Development, Brazil Bolivian Project on Sustainable Management of Natural Forests Brazilian Real Criteria & Indicators (ITTO) Community-based organization CIKEL Brasil Verde SA Clean Development Mechanism Conference of Central African Moist Forest Ecosystems Brazilian Forest Certification System Bolivian Council for Voluntary Forest Certification Congolaise Industrielle du Bois Centre for International Forestry Research (CGIAR), Convention on International Trade in Endangered Species Chain of Custody Honduran Corporation for Forest Development Cubic meter Diameter at Breast Height Department of Environment and Natural Resources (of Philippines) Department for International Development of the United Kingdom Ecuadorian Forest Service Edge Glue Panel Brazilian Agricultural Research Corporation Environmental Non-Governmental Organization European Union United Nations Food and Agriculture Organization Forest Department Forest Department of Sarawak Tropical Forest Foundation Finger-joint Forest Law and Governance EU Action Plan for Forest Law Enforcement, Governance and Trade Forest Management Agreement (in PNG) Forest Management Unit
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FRA FSC GDP GNP GS GTZ Ha/ha HRD IADB IBAMA IFF IFIA IFIR IFMA ILO INAB INEFAN INMETRO IOP IPAM IPF IPP ISO ITC or ITC Ltd. ITC-PSPD ITTA ITTC ITTO ITTO-PMC IUCN JFM K Kg km LEI LKS LUS m M&E m3 MAI MDF MFP MP MP-MFP-CFL mt MTCC N N.R. Na/na
Forest Resource Assessment Forest Stewardship Council Gross Domestic Product Gross National Product Growing Stock German Technical Assistance Agency Hectare = 10,000 square meters Human Resource Development Inter-American Development Bank Brazilian Institute for Environmental and Renewable Natural Resources Inter-governmental Forum on Forest Inter-African Forest Industries International Forest Industries Roundtable Integrated/Industrial Forest Management Agreement of Philippines International Labour Organization National Forest Institute of Guatemala Ecuadorian Governmental Agency of Natural Areas and Wild Life Brazilian Institute of Metrology, Standardization and Industrial Quality Integrated Operations Plan Environment Research of the Amazon Inter-Governmental Panel on Forest Independent Power Producer International Standardization Organization Indian Tobacco Company Limited (previously Imperial Tobacco Company) ITC Paperboards and Speciality Papers Division International Tropical Timber Agreement International Tropical Timber Council International Tropical Timber Organisation ITTO Producer Member Country International Union for Conservation of Nature (and Natural Resources). Joint Forest Management Kina, Currency of PNG Kilogramme Kilometer Lembaga Ecolabel Indonesia (Indonesian Ecolabelling Institute) Lesser known species Less Used Species Meter Monitoring and Evaluation cubic meter Mean Annual Increment Medium Density Fiberboard Minor Forest Produce Madhya Pradesh State of India. Madhya Pradesh Minor Forest Produce Cooperative Federation Ltd. (Federation) Metric Ton (Tonne) Malaysian Timber Certification Council North No response Information not available
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NABARD NGO NPFE ns NWFP NWG ODA ODEF OML PA PAFC PAGE PATECO PB PC&I PCCS PEFC PFA PFE PLANFOR PMCs PNG PNG-FA PPP PPSP PSP PT Q500 QS2 R&D RAP RFO RG RIL RM Rp Rs S2S S4S SBK SBS SCS SECTAM SEMA SFM SGS SPB SPWP STP TFAP
National Bank for Agriculture and Rural Development, India Non-governmental Organization Non Permanent Forest Estate Not Significant Non-wood Forest Products National Working Group Official Development Assistance Office de Developpement et d’Exploitation des Forets of Togo Operational and Management Licence Protected Area Pan-African Certification Forum Pilot Analysis of Global Ecosystem Pacific Timber Export Corporation (in Philippines) Performance Bond Principles, Criteria & Indicators (ATO) Primary MFP Collector’s Co-operative Society (in MP, India) Pan European Forest Certification Public Forest Administration Permanent Forest Estate Honduran Forest Strategic Plan Producer Member Countries Papua New Guinea Papua New Guinea Forest Authority Purchasing Power Parity Public-private Sector Partnership Permanent Sample Plot Perseorangan Terbatas (Limited Liability Company) Questionnaire Survey aiming for 500 responses – Stage 1 Activity of the Project Stage 2 Survey of Selected Cases, involving detailed company profiling and case studies Research and Development FAO Regional Office for Asia and the Pacific Regional Forest Officer Rougier Gabon in Haut-Abanga Reduced Impact Logging Ringgit, Malaysian Currency Rupiah, Indonesian Currency Rupees (INR), Indian Currency Surfaced Two Sides Surfaced Four Sides PT Sari Bumi Kusuma of Indonesia Brazilian Forestry Society Scientific Certification Systems Executive Secretary of Science, Technology and Environment of the State of Pará Environmental Agency of the State of Amapa Sustainable Forest Management Societe Generalte de Surveillance of Switzerland Samling Plywood (Baramas) Sdn. Bhd. Secondary Processed Wood Products Samartex Timber & Plywood Ltd Tropical Forestry Action Programme
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TLA TNC TP tpa TPA TPTI TPTJ TRF TSI UFPA UN UNCED UN-CSD UNDP UNEP UNICAMP USA US$/USD VAP VFP VTA WCED WCFSD WRI WTO WWF
Timber Licence Agreement (of Philippines) Transnational Corporation Timber Permit tonnes per annum Totally Protected Area Tebang Pilih Tanam Indonesia (Indonesian Selective Cutting and Planting System) Tebang Pilih Tanam Jalur (Selective Cutting and Strip Planting System) Tropical Rain Forest Timber Stand Improvement University of the State of Pará United Nations United Nations Conference on Environment and Development United Nations – Commission on Sustainable Development United Nations Development Programme United Nations Environment Programme State University of Campinas United States of America United States Dollars Value Added Product Vanimo Forest Products Pty Ltd Vanimo Timber Area World Commission on Environment and Development World Commission on Forests and Sustainable Development World Resources Institute World Trade Organization World Wide Fund for Nature (and Nature Conservation)
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ACKNOWLEDGEMENTS The International Conference on Sustainable Management of Tropical Forests – Private Sector Experiences, held between 13 – 15 April 2004, in Kuala Lumpur, Malaysia, serves to report on findings of the ITTO Project PD48/99 Rev.1 (F, M) entitled Sharing of Information and Experiences on Private Sector Success Stories in Sustainable Forest Management. The Project is unique to the Organisation in the sense that it is the first major project that deals with the private sector’s application of the sustainable forest management principle. ITTO in its essence have set its core business, so to speak, to formulate good management practices for the forests of the tropics around the thrust of SFM. It is thus in this perspective that the outputs of this Project is anticipated with some eagerness since it provides the first opportunity for us to see how the private sector forest managers adopt and translate the sustainability concept in their management practices. In its endeavour the project team, led by Y. Bhg. Dato’ Dr. B. C. Y. Freezailah, the founding and former Executive Director of ITTO, has covered a very wide ground in terms of both space and subject matter that revolves around SFM. The three major tropical regions of Asia-Pacific, Africa and Latin America-Caribbean were judiciously surveyed for good practitioners of forest management among private sector companies. It is hoped that their experiences, and in particular the ‘lessons learnt’, in pursuing SFM as the core of their forest management, will serve as the guiding models for those aspiring to venture in the same direction. The conference proceedings, published in two volumes, tell a pan-tropical story of the struggles experienced by 15 forest managers to achieve SFM. Collectively, they cover a range of forest enterprises that practically span the very wide tapestry of forestry endeavours. Although the socioeconomic and physical backdrops may be varied there are many common grounds for them to convey a pan-tropical message, if not a regional one. I am confident that the discerning forest manager can pick out the lessons learnt, from this intentionally selected wide management landscape that can benefit their individual needs. Like all major enterprise, the making of this Project, with its culmination in the proceedings, is a gotong royong effort which is a traditional Malay expression meaning team effort in which most of the ‘village’ is involved. I gratefully acknowledge the contributions of the ITTO and the Government of Malaysia, through the Department of Forestry Peninsular Malaysia, for conceiving and funding the Project. I would also like to congratulate the fine effort of the project team with Y. Bhg. Dato’ Dr. B. C. Y. Freezailah as the Project Coordinator, Mr. Mohd Basri bin Hamzah the Assistant Coordinator and Dr. C. C. Chandrasekharan, Mr. S. E. Wilson and Dr. I. Tomaselli as Regional Consultants. The Project was smoothly managed by the home Secretariat in Kuala Lumpur commendably headed by Y. Bhg. Dato’ Shaharuddin bin Mohamad Ismail, the Deputy Director General, and his able staff which include Mr. Thai See Kiam, Mr. Razani bin Ujang, Mr. Chin Yue Man, Tuan Hj Kamaruzaman bin Ali Budin and Mr. Yap Yee Hwai. The Perak State Forest Department smoothly organised the Post-Conference Tour under the able leadership of the State Director of Forestry, Y.Bhg. Dato’ Azahar bin Muda and his staff which include Mr. Nik Mohd. Shah bin Nik Mustafa, Mr. Amir bin Idris, Tn. Hj. Zainal bin Jain and Mr. Lim Kee Leng. I would like to thank Dr. C. C.Chandrasekharan for drafting the project technical report which is printed separately from the conference proceedings. In this fine piece of writing, he has successfully highlighted the major lessons learnt by the forest managers and also commendably updated our knowledge on the nature and practice of SFM in the tropics. This publication should thus be of use to all students of sustainable tropical forest management. My sincere appreciation is especially extended to the conference paper presenters for their magnanimity in sharing their rich experiences to benefit forest management in the tropics. They are Mr. S.K. Chan, Mr. N. Suparna, Mr. F. A. Lu, Mr. P. Tiong, Dr. R. Prasad, Mr. S. N. Rao, Y. Bhg. Dato’ M. Azahar and Mr. K. L. Lim from the Asia-Pacific region, Mr. P.Y. Dubois, Mr A-A. Ayih, Mr. N. Bayol, Mr. A. Brede from Africa and Mr. P. Antelo, Mr. J. Baldasso, Mr. R. S. Waack, Mr. R. F. Tocci, Mr. A. L. Pironel, Mr. E. L. Reckziegel and Mr. Tuoto from Latin America-Caribbean region. And also to the session chairmen, Mr. M. Esano, Mr. R. McCarthy and Mr. F. Pastore and the Conference Panellists, Y. Bhg. Dato’ Dr. B. C. Y. Freezailah, Mr. N. Bayol, Mr. Yati Bun, H. E. Mr. N. Nakahira, Mr. Njoto and Dr. I. Tomaselli. Through their gotong royong in ideas and deliberations they have collectively identified for us a clearer direction ahead. I believe and I hope that this report will make a difference to forest management in the tropics. Yours sincerely, Director General Forestry Department Peninsular Malaysia
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SESSION 1 – AFRICA CHAIRMAN: M. ESANO
Sustainable Management of Tropical Forests – Private Sector Experiences
REGIONAL REPORT ON PRIVATE SECTOR EXPERIENCES IN SUSTAINABLE FOREST MANAGEMENT IN THE AFRICAN REGION RAPPORT REGIONAL SUR LES EXPERIENCES DU SECTEUR PRIVE EN MATIERE D’AMENAGEMENT FORESTIER DURABLE DANS LA REGION AFRIQUE INFORME REGIONAL SOBRE LAS EXPERIENCIAS DEL SECTOR PRIVADO EN MATERIA DE ORDENACIÓN FORESTAL SOSTENIBLE EN LA REGIÓN AFRICANA
E. Siisi-Wilson African Timber Organisation Libreville, Gabon.
EXECUTIVE SUMMARY INTRODUCTION Background Forest management challenges of most African countries are varied and complex in nature, as these seem to be influenced by various social, ethnic, cultural as well as economic factors. This situation seems to be compounded by the fact that most of these forests are designated as state or government-owned resources, and hence issues about managing them on sustainable basis, have been in contention as roles and associated responsibilities of the existing stakeholder groups, appear to be more imaginary rather than real. While there is some information on the role of especially governments and some other stakeholders on forest management activities, the contribution of the private sector especially, in respect of this issue appears to be usually generalised. Thus providing a basis for some doubts to be raised on the willingness and the ability of the private sector to technically as well as economically, facilitate and participate in tropical forest management, in addition to any other interests.
Objectives The objectives of this study in general, as it relates to the African region is to provide some insights on information on the contribution of the private sector to the management of the forest, in the course of the pursuit of both her collective and individual business and economic goals. It will seek to facilitate access to and promote the use of such information and experiences on cases of such successful forest management practices as a contribution to the attainment of the ITTO Year 2000 objective.
Methodology This study, which involved all of the nine (9) ITTO African Producer Member Countries, included two phases. Principally, it generated information based on a first set of questionnaire – ‘Q500’ or SQ1, directed at as many forest based enterprises in all the countries, which was analysed according to a developed criteria in order to identify the success stories. The second phase, involved the preparation of case studies on the identified success stories, based on site visits, interviews and the study of documents relating to such experiences in accordance with a second set of questionnaire, labelled ‘SQ2’. To facilitate this in the African region, the ITTO Producer Member countries were differentiated as belonging to two sub-regions, i.e. the Central African sub-region and the West African sub-region. The countries of the Central African sub-region are made up of Cameroon, Central African Republic, Congo, Democratic Republic of Congo and Gabon. Those of the West African sub-region include La Cote d’Ivoire, Ghana, Liberia and Togo.
Sustainable Forest Management (SFM) concepts Al though the concept of sustainable management as it applies to forests, is acknowledged to be extremely wide and hence has been variously defined by several authorities, within the context of this study, the meaning of sustainable management of tropical forest, was as defined by the International Tropical Timber Organisation. This is ‘the process of managing forests to achieve one or more clearly specified objectives of management with regard to the production of a continuous flow of desired forest products and services, without undue reduction of its inherent values and future productivity, and without undue undesirable effects on the physical and social environment’.
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Sustainable Management of Tropical Forests – Private Sector Experiences Resulting from the SFM concepts, are initiatives aimed at developing principles, criteria and indicators for the management of forests, of which the ITTO sets have played a pioneering role. However, as a region the African Timber Organisation in collaboration with CIFOR, also developed a regional set of PC& I, for the management of African tropical natural forests. These two separate initiatives as they relate to the management of forests in Africa, have been harmonised subsequently to facilitate the realisation of the objectives of management. Generally, in the countries as listed in this study, these principles, criteria and indicator sets, seem to practically generate a great deal of interest on issues and activities relating to forest certification.
The Private Sector in Forestry According to various forms of classification as offered by different authorities, there are significant differences in the extent of, specialisation and dependency, and hence reflecting the interest levels, knowledge, motivation and willingness of the broader private sector group of stakeholders, to manifest forest management practices. This results in various categories of enterprise and organisations, with some showing a greater preference just towards commercial logging activities, while others embrace the expanded roles as required in the definitions of SFM, which include: • minimising environmental impact; • offsetting the impacts of operations by investing in conservation related activities else where in the concession; • sharing the economic benefits of timber extraction on a more equitable basis; • respect for local community and workers and promoting clearer land and resource use rights; • moving beyond timber to include non-wood forest resources; • minimising resource throughput requirements; • transparency of operations; • contributing to scientific knowledge. Although, the commitment to the implementation and demonstration SFM practice in the region, seem to be constrained, being largely dependent on the expressed goodwill of Governments, some individual enterprises, of the Inter African Forest Industries Association (IFIA), have initiated remarkable strides in this direction. Some of these companies, comprising 17 in all and working under the name of “European Foundation for the Preservation of African forest resources”, with some 20 million ha. of forest under their care, have decided to integrate the above values in their operation, which they affirmed to in September 1999 in Milan.
The Regional Forestry Situation There is considerable variation in the forest resources of all the nine ITTO Producer Member countries with respect to the quality in relation to species diversity, as well as the extent and area of coverage. As far as natural forests are concerned, while some countries such as La Cote d’Ivoire and Ghana, no longer has much unlogged forests, others such as Congo, Central African Republic and Gabon, still have quite extensive unlogged forest areas, which seem to pose serious challenges for their management. The five ITTO Producing Member countries of the Central African sub-region have about 35 percent of the total forests of Africa, and also an above average per capita forest area. In relative terms, the four other ITTO Producer Member countries from the West African sub-region, have under 3 percent of the total African forest, and a lower than average per capita forest area. Deforestation rates, degradation of forests and the depletion of forest resources in the West African sub-region are noted to be higher than those occurring in the Central African sub-regional countries. Such activities have been attributed to shifting cultivation, logging and agro-conversion activities As a result of limited financial inputs, most initiatives on plantation forestry, have been promoted under the form and nature of a research station activity. In some countries however, most of the forestry activities are totally dependent on planted forests such as is the case in Togo, or partially as in the case of La Cote d’Ivoire and Ghana. In relation to forest management, the collective industrial harvesting and production of round logs, perhaps represents the major management intervention, which is usually initiated by most private sector enterprises in the region. Characteristically, however the assessment of trends in both the volume and value contribution of this activity to the economies of the countries concerned, has always been hampered by both recorded and unrecorded illegal logging activities. Apart from various forms of logistics and equipments that both governments and the private sector are increasingly investing in, to enhance forest management practices, the private sector enterprises can be singularly credited with the substantial investments in all types and classes of roads in the forest areas of the region as a whole.
Sustainable Management of Tropical Forests – Private Sector Experiences Most countries have reviewed their policies and legislative framework to enhance the management contributions of all relevant forest related stakeholders. On the other hand their effectiveness or otherwise, cannot be ascertained in isolation as they relate to other wider sector policies and legislations.
The Role/Place of the Private Sector in Investing for Sustainable Forest Development In real terms, without the required resources available to anticipate and assess the economic feasibility of the expanded roles, as implied by the definition of SFM, as they would relate to the tropical African forests, enterprises have tended to be selective on their choice of management intervention. In the absence of detailed prescriptions, which could be referred to or identified as a form of standard practice, companies have had to rationalise their management activities through their own initiatives. The result is that the quality of the output tends to be restrained by the cost and investment implications, to a very large extent. For most of the private sector companies, the tendency for loosely enforcing forestry regulations in most of the countries in the region, provides very little incentive to invest in the application of an extensive array of technical forestry actions and the requirements of an elaborate management system. With others, the larger the area of the forest concession, and the associated economic species-mix, the better the incentive to invest in a more lasting forest management practice. Some of the companies, have on the strength of enhancing their market image, market share and commitment to sustainable practices, managed to achieve forest management certification status and others are also striving to do so. Thus, as far as certification is concerned, there are two companies in Gabon that have had their natural forest concessions certified as on July 2003, under the Keurhout Foundation system.
PROJECT FINDINGS The survey questionnaires generated responses from enterprises of seven (7) countries for its first stage, and then subsequently, a total of five (5) case studies from one company selected from each country’s respondents, during the second stage. The first stage of the study, which was based on a Q500 survey questionnaire received responses from the private sector of the following four (4) member countries of the Central African sub-region:- Cameroon, Central African Republic, Congo and Gabon; and also the following three (3) West African sub-regional countries:- La Cote d’Ivoire, Ghana and Togo. Following an analysis and screening criteria developed by the project, a detailed study guided by a QS2 questionnaire format, was used to prepare company case studies, for the second phase of the study, based on direct company/site visits. The Q500 survey and the QS2survey questionnaires responses and results are shown in Table A Table A. Q500 and QS2 survey questionnaire results Country CENTRAL AFRICAN SUB-REGION Cameroon Central African Republic Democratic Rep. Of Congo Rep. Of Congo Gabon WEST AFRICAN SUB-REGION Cote d’Ivoire Ghana Liberia Togo TOTAL
Q500 Survey Response Response Rate
QS2 Survey Company Participation
4 out of 50 distributed 3 out of 30 distributed Nil out 30 distributed 7 out of 25 distributed 5 out of 30 distributed
8% 10% Nil 28% 16%
No response No response Nil Yes Yes
5 out of 65 distributed 30 out of 110 distributed Nil out of 25 distributed 1 out of 1 distributed
7% 27% Nil 100%
Yes Yes Nil Yes
55 out of 366
15%
5 out of 7 Selected
The Q500 survey questionnaire, essentially received a total of 55 responses from enterprises in all the seven (7) responsive countries. This represented a 15 percent over all response rate for the African region. The highest number of responses were received from Ghana (30 companies) for the West African sub-region, while the corresponding highest response from he Central African sub-region, was received from Congo (7 companies).
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Sustainable Management of Tropical Forests – Private Sector Experiences Various reasons including procrastination, reluctance to participate in the survey, and a decision to disregard any such requests on the part of the enterprises, might have contributed to this response rate.
FIRST PART OF THE SURVEY – Q500 An analysis of the responses of the Q500 survey questionnaire, are presented below under various broader headings.
Corporate Nature of Respondents All the nineteen (19) respondents of the four (4) Central African sub-regional countries, namely Cameroon, Central African Republic, Congo and Gabon, were privately owned corporate entities. Of the total of 36 respondent companies, from the three West African sub-regional countries, namely La Cote d’Ivoire, Ghana and Togo, there were two types of ownership structure observed. While all the respondents from La Cote d’Ivoire were privately owned, 90 percent of the respondents from Ghana were also privately owned but with the rest being publicly owned companies. The only company, legally authorised to manage forests and trade in forest products and its resources in Togo is also publicly owned. In the African region as a whole 94 percent of the respondent companies were from the private sector, while 6 percent were from the public sector.
Unstable Tenurial Situation As some new concepts based on community forestry, the creation of conservation areas, etc., are being implemented increasingly in the concession areas of the enterprises, the general impression is one of a still evolving forest tenure situation. •
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Ownership of forest resource base Almost all of the forest resource base of the respondent enterprises in the Central African sub-region were Stateowned forests, with a few recently created and acknowledged community-based forests which can be found in Cameroon and Gabon especially. Forest concessions of the enterprise in La Cote d’Ivoire and Togo are also government or State-owned. Those in Ghana are designated as stool land forests, which are vested in government by law, and therefore the State only holds them in trust for the indigenous owners. (Note: Stool lands are forested land that belong to a tribe or clan, whose head is usually designated as a ‘Stool’, representing the symbol of his office). Type of forest concession All the forest concessions of the respondents from the Central African sub-region, are from a natural forest base, while some 94 percent of the respondents from the West African sub-region also depend on a natural forest base. However, there were also some 19 percent of the West African respondents, depending totally or partially on planted forest concessions. Area of forest concession Generally the sizes of the natural forest concession found in the Central African sub-regional countries of the respondents are larger averaging over 350 000 ha per enterprise. For the West African sub-regional respondents, due to lack of information as requested, the exact average size could not be readily estimated although they are relatively smaller in size. Practice of shifting agriculture. Some 68 percent of the respondents from the Central African sub-region as compared to 75 percent of those from West Africa, did indicate that local communities living in and around their concessions are practising shifting cultivation. In general the forest resource tenure situation trend, seems to be one of a transition from the control of forestlands by centralised agencies to granting of individual or collective tenure to enterprises and the local communities, with a view of improving among other things the d the security of tenure.
Integration of Activities and Value Addition Out of a total of the 19 respondent Central African sub-regional enterprises, all but one was not involved in any form of processing activity. All the 36 respondents from the West African sub-region were engaged in some form of value –added processing activity. Saw-milling was the predominant form of forward integration activity, followed by a mix of processing activities, which include veneer, mouldings and furniture parts, and with plywood manufacturing following closely. In the Central African sub-region, 68 percent of respondents have their forest resources integrated with saw milling, 11 percent with plywood mills and 16 % with veneer processing and other related value addition activities. In the West
Sustainable Management of Tropical Forests – Private Sector Experiences African sub-region 89 percent of respondents have their forest resources integrated with saw milling, 25 percent with plywood mills and 36 percent with veneer, mouldings and other value added products manufacture •
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Round log production In relative terms the respondents from the Central African sub-region are high volume industrial round log producers, from their natural forests than their counterparts from the West African sub-region. The respondent enterprises from the West African sub-region, who are based especially in La Cote d’Ivoire, Togo and to a lesser extent Ghana, produce some industrial round logs from planted forests. About 70 percent of this was produced in the forests of La Cote d’Ivoire. Sawn timber production & other processed products. There is a lot more primary and secondary processing activity taking place in relative terms in the respondent companies in the West African sub-region than in the Central African sub-region
Human Resource Development The activities of the respondent enterprises with respect to human resource development have both direct and indirect effects, on employees and the community respectively. •
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Categories of staff and workers and their training In the Central African sub-region, of the 8,726 recorded employees of the 19 respondents, slightly less than 4 percent were professionals, 37 percent were skilled workers and 52 percent were unskilled workers. For the West African sub-region of the slightly over 17,000 recorded employees, working in the 36 respondent enterprises, 8 percent were professionals, 30 percent were skilled workers and 60 percent were unskilled workers. There is a tendency for most of the respondent enterprises to employ fewer professional staff and more unskilled workers regionally. There is a general preference for the enterprises to offer principally, hands-on-the –job type of training for employees in both sub-regions, interspersed with a few short courses and organised seminars on site and abroad. Welfare facilities Regionally most of the respondents have provided various forms of welfare facilities for their employees, with health, school and housing facilities representing the three top priorities in addition to others in most cases. Employment of local community members by the enterprises Almost about 63 percent of the respondents from the Central African sub-region provided some form of employment to the members of the local communities living in and around their concessions or activity areas; while 26 percent indicated that they do not provide any such employment. On the other hand 78 percent of the West African respondent companies, indicated that they did not provide any such employment to the members of the local communities with only 19 percent providing employment to them On a regional basis, some 33 percent of the respondent enterprises provided the members of the local community with some form of employment, while some 61 percent of them never engaged such people. The number of Accidents and Mortalities Generally the trend of fatalities due to accidents and mortalities, seemed to follow a similar trend in both sub regions, despite the casual way respondents treated this issue which also provides insights into the general health and safety record of the enterprises. Such fatalities seemed to range between 1 to 2 occurrences per month for most of the respondents.
Neglect of Non-Wood Forest Products (NWFPs) Generally, as a result of their characteristics such as extensive variety; low occurrence and distribution, which contribute to production irregularities, most NWFPs present enough obstacles for harvesting, as they also require lengthy travel time and costs. Other factor such as, their low value potential, as well as the high risk of collection in comparison to timber species appears to make them less attractive as a business option to most of these commercial logging operators. This, perhaps may explain why most of the 55 respondent enterprises in both sub-regions had nothing or very little to do with any form of NWFPs.
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Sustainable Management of Tropical Forests – Private Sector Experiences Differing Standards of Silvicultural Management and Control Some of the core activities contributing to the implementation of sound forest management practices, included: •
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•
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•
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•
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Practice of Sustainable forestry. In the Central African sub-region 79 percent of the respondent companies indicated that they are practising sustainable forestry, a practice which most of the companies said was introduced between 1995 and 2002. All the respondents from the West African sub-region also indicated that they were practising sustainable forestry, and this was introduced from 1980 to1998. Management plan & its planning period In general, while 69 percent of the Central African sub-regional respondent enterprises had management plans, 89 percent of those from the West African sub-region also confirmed its availability. As a region the planning horizon of the management plans of these respondent enterprises spanned from 1 to 30 years. Consistency of Management plan with ITTO Guidelines While some 42 percent of the Central African sub regional respondents affirmed that their management plans were consistent with the ITTO Guidelines, 86 percent their counterparts from the West African sub-region also indicated such consistency. Broad management systems practices The general regional picture is a predominance of single types of broad management systems practised in the Central African sub-region, and the predominance of a mix of two or more types of broad management systems practised in the forest concessions of the West African respondents Annual allowable cut Prescribed annual allowable cut appears to be a common management tool employed by the forestry authorities in almost all the countries in this study. The extent of strict adherence by the enterprises and the sources of data used in its determination, however seem to vary extensively across the countries. Harvesting plans and systems used. Most respondents in both sub-regions prepare harvesting plans. There is a general preference for the use of tractor skidding and high lead yarding systems in both sub-regions, either as separate systems or used in combination by the enterprises. Pre-harvest inventory Some 89 percent of the Central African sub-regional respondents and 94 percent of the West African respondents’ all affirmed to using this type of activity in their operations. Road planning. Approximately 79 percent of the respondents from the Central African sub-region and 83 percent of those from the West African sub-region undertook road planning activities. Provision for stream buffers Some 42 percent of the respondent companies in the Central African sub-region as compared to 61 percent of respondents in the West African region make some provision for stream buffer areas in their operations. Directional felling Again, some 42 percent of respondent companies in the Central African sub-region as compared to 69 percent of the respondents from the West African sub-region attested to the use of this improved harvesting technique. Post-harvest regeneration surveys Around 42 percent of respondents in the Central African sub-region as compared to 86 percent of such companies in the West African sub-region, undertook post-harvest regeneration surveys. Type of regeneration system Most respondent companies (65 %), in the two sub-regions depended on natural regeneration as the main regeneration system for the logged over forests. On the other hand some enrichment planting and replanting activities for the purposes of plantation establishment occurred more in the West African sub-region than the Central African Sub-region. Other forms of silvicultural treatments Very few of the respondent companies in both sub-regions undertook these other forms of silvicultural treatments, which generally include climber cutting, cleaning, tree girdling, etc
Research and Development R & D Activities While some 47 percent of the respondents from the Central African sub-region undertook R&D activities, 26 percent of the respondents did not engage in any such activities.
Sustainable Management of Tropical Forests – Private Sector Experiences In the West African sub-region some 81 percent of the respondents undertook R&D activities while some 17 percent were not involved in any form of this activity.
Externally Funded Projects in Concessions Some 52 percent of the Central African respondents have externally funded projects in their concessions. In the West African sub-region only 11 percent confirmed the presence of externally funded projects in their forest concessions.
Knowledge About C&I, Minimum Acceptable Standards, etc. Minimum Ccceptable Standards in the form of C&I Though the criteria and indicators based on the ITTO and ATO separate initiatives, as well as those derived at the national level of some countries are known to some of the enterprises of this region, most of the enterprises generally showed total indifference to commenting on this. Preference was rather to refer to some local national code of forest practice.
Forest Concession Certified There was only one company, representing 5 percent of respondents in the Central African sub-region, that is ThanryCEB of Gabon with her natural tropical forest concession certified. This, however, increased to two in the course of the study period (July 2003). None of the respondent companies in the West African sub-region had a forest concession certified.
Intending to Undertake Forest Certification Some 63 percent of the respondents in the Central African sub-region expressed their intention to undertake forest certification, within a period spanning from 2002 to 2006. In the West African sub-region, only some 25 percent of respondents indicated an intention to undertake this activity in the year 2003. Thus in all a total of 38 percent of the respondent companies in the African region expressed their willingness to undertake forest certification soon.
Socio-Economic Sustainability vs. Environmental Sustainability The central issue in most cases about the concept of forest resource sustainability, is about how stakeholders can strike a balance between the level of the use of this resource and its conservation, a net higher level of development.
Services Offered by Forest Concessions Most of the production forest concessions of the respondents in the region offered as well services in the form of conservation, wildlife refuge and protection, and also for educational purposes.
Local Communities Living within and Around Forest Concessions A total of about 96 percent of the respondent companies in the region indicated the presence of local communities living within the vicinity of their forest concessions.
Permission Granted to Local Communities to Hunt, Fish, or Gather Food for their Own Uses Some 84 percent of the Central African sub-regional respondent companies permit these activities. In the West African sub-region, only some 56 percent of the respondents seem to permit these activities in their concessions.
Biological Diversity Conservation Areas For this purpose 74 percent of the Central African sub-region respondent companies as compared to 83 percent of the West African respondent companies indicted the presence of such areas in their concession.
Endangered Species in the Concession Most of the respondent companies affirmed to both the presence or absence of endangered species in their forest concessions
Court Cases on Forest Law Violation (1999 – 2000) In the Central African sub-region 84 percent of the respondent companies had no court cases against them; only 5 percent of them indicated that they had cases of that nature in 1999. The situation for the year 2000 was quite similar, but with a slight reduction in the numbers, 78 percent with no court cases but the same 5 percent having court cases.
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Sustainable Management of Tropical Forests – Private Sector Experiences In the West African sub-region, 86 percent of the respondents did not have any court case on forest laws violation while 8 percent had in 1999. For the year 2000 some 92 percent of the respondents had no such cases with only some 3 percent recording such cases.
THE SECOND PART OF THE STUDY – QS2 CASE ANALYSIS A total of seven companies were selected following from the Q500 survey questionnaire stage, to represent each of the participating countries in the QS2 stage of the survey, which involved the preparation of case studies on the forest management activities of the companies. Of the seven companies, two declined to participate, leaving five companies as listed below: -
Congolaise Industrielle des Bois of Congo; Samartex Timber & Plywood Ltd of Ghana; Groupe Rougier of Gabon; Office de Developpement et d’Exploitation des forets of Togo; Transformation des Bois Ivoirien.of La Cote d’Ivoire.
The five case studies present scenarios of company situation and their forest management activities in relation to size and resource availability; the management practices being used and the progress made with reference to the implementation of the principles of sustainable forest management. Three of the case studies draw their strengths from the management style and prescription being applied to natural tropical forest management and these are the companies from Congo, Ghana and Gabon. The two others, which are of relatively small to medium size, exhibit qualities in the management of planted forest, especially in the case of the enterprises from Togo, and a mix of natural forest harvesting and plantation forest harvesting under the direction of a state organisation in the case of the company from La Cote d’Ivoire. The five case studies highlighted some of the achievements made by the individual companies in their sustainable forest management activities, the constraints and their intentions as far as realisation of SFM was concerned. It also helped to compare and contrast the objectives of management from the point of view of a large multi-national company on the one hand, government sponsored operations on the other and also locally financed investment operations.
Brief Characteristics of the Case Studies CONGOLAISE INDUSTRIELLE DES BOIS (CIB) OF CONGO The company, located in the northern part of Congo is a large-scale multi-national establishment, and forms part of a bigger international group Hinrich FELDMEYER-tt Timber International. The forest concession holdings of this company totals up to 1.3 million ha., which are at four different operational sites. The vegetation and forest type consist of mostly dense and moist evergreen forest ecosystem of varying degrees of tree canopy formations. There are two of the forest concession holdings of the company sharing common boundaries with the NouabaleNdoli National Park, with the result that the company has developed in collaboration with the government and other partner, various wildlife conservation protocols. All the harvesting operations of the company are based on a selection type of felling, which derives a lot of strength from experiences acquired and observations made over several years of operations. Most of the trees, which are harvested are well above the prescribed minimum diameter limits The enterprise has in place a forest inventory team to facilitate data collection, and also other teams undertaking socio-economic studies, etc., aimed at especially developing her forest management plans. Timber harvesting is well coordinated through the use of modern planning equipments and methods for pre-harvest forest zoning, road planning and the application of reduced impact felling techniques. There is a full complement of mechanical harvesting devices to ensure the planned operations. An essential aspect of its post harvest logging operations, is an elaborately logging residue recovery and utilisation programme, that ensures that the logged over forests are cleared off much of their debris, in order to facilitate natural regeneration and avoid the occurrence of forest fires. Training in reduced impact logging techniques is provided to the company’s felling crew and their progress with respect to productivity and minimisation of environmental impacts are monitored progressively. Most activities relating to post- harvest regeneration is jointly being studied between the company and a newly created parastatal organisation in reforestation and agroforestry activities. A well equipped road construction and maintenance team provides roads for harvesting, as well as those required
Sustainable Management of Tropical Forests – Private Sector Experiences for long distance haulage of the products of the company to the ports. There is also a complement of an elaborate networking of other transportation systems including river transportation and the required equipments to facilitate this. All processing activities of the company are well sustained by a well developed export oriented market as the domestic market is comparatively very small. In collaboration with the ITTO, and also the Keurhout Foundation, the company seems to be well grounded on issues related to criteria and indicators and its application to forest management, following from an ITTO sponsored workshop there. With reference to human resources development, the CIB manpower strength of over 1665 personnel are provided with a trade school for training, including a whole range of welfare facilities free of charge for the benefit of the workers. The investments of the company as they relate to processing seems to be growing from strength to strength as portrayed by the growth in its manpower strength between 1998 and 2002 of about 50 percent. On its socio-economic contributions, the current social capital investment of the CIB is quoted as being in the range of 2 070 000 000FCFA, which finds expression in the servicing of about 13,000 people living in villages, created as a result of the commercial operations of CIB. It provides a hospital and an infrastucture for sports and other economic activities. Its road network and maintenance programme stretches up to the border of Cameroon to support various forms of social and economic activities. It operates a well-coordinated alternative livelihood programme aimed at reorienting the attention of the local populations from forest degradation activities and shifting cultivation initiatives as well as hunting of wildlife. In collaboration with an environmental non-governmental organisation and the Ministry of Forest a partnership to manage a National Park has been developed, and under an ITTO sponsored project these organisations have managed to establish an ‘ecoguard’ system, consisting of trained people who patrol around forest roads to control poachers. There are also other components to this partnership approach to forest management including education and awareness creation as well as research activities. On the other hand this company’s image with reference to certain international E-NGO, has militated against efforts at getting her forest management operations certified. This is a situation, which the company is feverishly working on in order to rectify. The place and location of the company relative to its markets, which is in the range of some1300 km of distance, puts a lot of strain on company resources in terms of time, road maintenance and the provision of security for the products on route to the export market. Seasonal fluctuations in the river level, makes it partially supportive of river transportation in favour of this company, only during some parts of the year. Developing a new relationship with some of the indigenous forest dwelling and dependent people has sometimes been a slow process, requiring careful nurturing.
SAMARTEX TIMBER & PLYWOOD LTD. OF GHANA A privately owned large-scale company, that inherited a long tradition based on a sustained timber production from a previously owned, well managed forest operation. The current management team is part of a Germany-based group. Her operations represent, one of the biggest in Ghana. Equipped with a well-resourced forest management department in terms of tools and experts, she initiates activities relating to her forest management planning and development, and thus supplements the statutory responsibilities of the state in this direction. Operating from forests concessions in the range of 145,000ha, the company’s forest planning activities are based on a forty-year felling cycle, with each felling coupe to be sustainably harvested over a period of five years. The system of silvicultural management of the forest concessions is based on the selective felling concept, which derives its strengths from a predetermined annual allowable cut by the Forestry authority. All the harvesting operations are done in accordance with the prescriptions set out in the Ghana Manual of Procedures for Forest management, which among other things requires very intensive pre-harvest, harvest and post harvest operational requirements. With reference to the use and observance of minimum forest standards derived from criteria and indicators, the company seems to strictly implementing most of the management prescriptions as detailed out in the forest standards of Ghana. She is also making efforts towards the realisation of forest management certification possibly under the FSC scheme. Samartex, has a complement of equipment and machinery for harvesting and also ensure a reduced impact of its operations on the ground. The company on the average achieves a round log production of 10,000m3 monthly. Most of the logging and wood residues are sorted out, and the last grade used to generate electricity for both industrial and domestic purposes. With a variety of primary and secondary processing mills ranging from processing of curls, sliced and peeled veneer, saw milling, plywood mill, moulding and a wood carving centre, almost all her round logs are sorted out to suit the best end-use purpose.
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Sustainable Management of Tropical Forests – Private Sector Experiences In its human resources development, the company exhibits a strong commitment to the improvement of the capacities of both its workforce and people from the local community. The company has in place a well-coordinated apprenticeship development programme, based on selection, for its own set up trade school and others located externally for training purposes. The workforce strength of this company, totalling 2350, are provided with welfare facilities in the form of free electricity, water, free medical care, accommodation and schooling facilities for the wards of workers. In responding to the socio-economic needs of the mostly rural communities living in the vicinity of the investments of the company, it has prioritised the provision of education, health and the maintenance of the road network in the area as its contribution to national development apart from the statutory taxes. Under an alternative livelihood programme, which is jointly implemented with the local communities, the company has diversified into agro-forestry activities as a basis for discouraging primarily, the spread of shifting cultivation. It is also in NWFP’s processing in collaboration with a German based firm, which is currently at the level of R&D, for developing a sugar free beverage sweetener from a forest tree species. Under its forest protection strategies, designated areas, with high biodiversity indices are conserved, and also fire protection strategies are seriously observed. Some of the major constraints that seem to militate strongly against the sustainable management efforts of the company include the protection of wildlife from poachers and the harvesting and chain sawing of timber illegally in the forest concession of the company. As these people involved in these illegal operations, are the preferred companions of most of the village dwelling community people to concessionaires such as this company. Hence the company faces an uphill task in trying to control these activities.
OFFICE DE DEVELOPPEMENT ET D’EXPLOITATION DES FORET – (L’ODEF) OF TOGO L’ODEF is a public-owned organisation, which is empowered by law and also financed by the State, as the sole organisation to pursue the objective of managing and improving the nation’s forest resources as well as the marketing of it’s produce. Since commencing its activities as a follow up activity of a project in 1971, this organisation set an annual planting target of 2000 ha . This objective has been pursued vigorously through the establishment and management of nurseries as production systems, and thus providing the required inputs for setting up the plantations. From an in-house seedling development and soil preparation techniques, which serve as the basis for her silvicultural and management prescriptions, the organisation has established some 10,000 ha., of gradually maturing plantations. The plantation development programme is, concentrated on five species, with the main principal species being Tectona grandis (teak). All the plantations have management plans, which are reviewed every ten years. Based on the observed growth dynamics of the plantation species and the determined rotation ages for the five species in its plantation programme, the organisation has prepared some predetermined production volume tables to guide various management interventions including the thinning process at intervals ranging between 4 and 5 years. The annual allowable cut established for all the thinning operations is currently 13,500 m3 of round logs, and this is to be limited to an area of between 50 to 300ha. per year. All forms of harvesting activities are based on a harvesting plan, which is coordinated, controlled and monitored. Post harvest regeneration is carefully conducted to facilitate as much regeneration as possible. The normal procedure is through enrichment planting. Harvesting trends between 1995 and those achieved currently, showed an increase of nearly 180 percent in the volume of wood harvested. The quality of the industrial round logs/ saw logs, were classified as average, with their diameters ranging between 14cm to 60cm. All the harvested produce found ready end-use application in the saw milling facility of L’ODEF for processing or were exported in the round form. The sawmill with an installed capacity of 8000m3 of saw log input is currently being worked at about 62 percent of the installed capacity per annum and has a recovery rate of between 37 and 40 percent. All the sawn timber products are readily sold on the local market, while the organisation exports about 8,500m3 of round logs annually. The manpower strength of this organisation, is composed of well-trained forest engineers and a complement of related workers, who undertook most of the management and technical functions. Most of the operational activities are highly labour intensive as these mostly involve on-farm work, and hence the use of a lot of temporary and hired labour in especially the planting activities. The organisation is involved in some alternative livelihood programs, with the rural communities. It had financed the provision of several social amenities, including the construction and rehabilitation of clinics, wells, schools, etc. Based on the taungya system of plantation development initiative, this organisation is intending to improve the extent of
Sustainable Management of Tropical Forests – Private Sector Experiences people participation in its operations and will also improve on forest protection mechanisms, which are more local population centred. The use of uncontrolled fire in the plantations and the areas around them are prohibited. Additionally, grazing animals are not permitted in the vicinity of the plantations. Its network of roads to and from the plantation sites, has contributed to linking up and connecting several villages to the urban centres. As part of the state machinery, the organisation contributes revenue in the form of taxes. On the other hand its operations with respect to the management of the degraded natural forests based on natural regeneration techniques, does not seem to be very strong. There appear to be an extreme reliance of the plantation development activity on exotic species, with very little development towards the use of native or more indigenous species. There is no preference for the use and application of criteria and indicators in the processes involved in the management of especially the plantations that have been set up. The forestry law from which the organisation derives most of her strength is very old and needs to be reviewed, in order to accommodate evolving concepts in SFM practice. The availability of wildlife and the level of biodiversity of these plantation initiatives in relation to the surrounding vegetation, continue to be a source of worry, and hence would perhaps require a thorough study
GROUPE ROUGIER OF GABON The company can be identified with a long history of a forest industry tradition in Gabon, as it has been operating here for the past 50 years. The company is part of a multi-national group, which is also well represented in the Congo Basin forests of most of the countries in the Central African sub-region. According to this company its commitment to forest management processes, derived from a multiple of motivational factors, which included safeguarding the forest heritage under a sustainable concession; a better knowledge and understanding of the forest resources; rationalisation of logging activities for increased productivity; development of a long-term project activities for planning and investment purposes; and as a response to market expectations and issues relating to the corporate image of the company. It has forest concessions located on four operational sites totalling up to 600,000 ha. The company in recognition of the need to pursue a more responsible management of its forest resource, contracted a consulting firm-FRM of France, to undertake pilot studies and then provide the orientation towards the achievement of this objective. On the strength of the company’s business objective, its first core management objective, based on production, was established as the sustainable maintenance of timber production to encompass the sustainability of the business venture and the forest and its resources. The preparation of the management plans commenced with management inventory of the Haut-Abanga and the Ogooue-Ivindo forest management units of the company’s concessions. This involved field activities and the use of information generated from topographical maps, aerial photograph and satellite images, etc. Undertaking of socioeconomic and other complementary studies, as well as an analysis, for the determination of the activities of the strategic management plan, in the range of 20 to 30 years. On the strength of the inventory data and growth modelling technique, parameters for the management of the series of activities relating to the production of trees from the forest were established. The choice of management parameter included the length of rotation, minimum diameter of trees for harvesting, list of objective species, etc. The management plan apart from guaranteeing a sustained timber production also ensures hydrological protection, conservation of forest with high biodiversity, protection of slopes and steep lands as well as the conservation of special ecosystems, including the banks of rivers. In response to the observations made in the pilot studies the company has established permanent sample plots to continue to generate information on the ecological trends, and to improve on the recommended silvicultural prescriptions of management. Additionally, it has started regeneration trials based on enrichment planting activities. The approved annual allowable cut for the company is been set at 285,000m3. Of the total volume of tree species harvested 85 percent of this is composed of a single species, Aucoumea klaineana (Okoume), which is more or less one of the main prime timber species in Gabon. The company’s processing activities are well integrated, based on a veneer processing and a plywood manufacturing plants. This factory uses around 66,000m3 of Okoume round logs annually to produce premium quality plywood, targeted for the export market. The human resources of the company, in the range of 950 personnel are encouraged to pursue training either on the job or through professionally developed programmes. The company provides welfare facilities to the employees in the form of housing, health care, water and electricity.
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Sustainable Management of Tropical Forests – Private Sector Experiences As part of the socio-economic studies conducted, some nearly 4000 local community people were identified, as living in the vicinity of the concession areas of the company. Hence the company has adopted various measures that will promote and ensure a healthy coexistence with such people. Thus in line with this development, some 25,000 ha. of the company’s original forest concession allocation has been ceded off and created into a community forest, for the sole use of these people. Environmental wise, the company has been able to demarcate a number of conservation areas made up of 29,900 ha. of fragile ecosystems for protection. It is involved in the rational management of wildlife resources against poaching and the prohibition of commercial hunting in most of her concessions, by the formation of a team of ‘ecoguards’, who check and monitor the movement of vehicles in the forest areas for illegally hunted game. As part of the measures of the government to create national parks, the company in 2002 had to cede off 83,000ha of its concession to form part of the Invido National Park, and the company participates in the management committee of this park. The company’s preference for the harvesting of Okoume, without diversifying into the use of other species, would perhaps soon impact on the availability of this species. Additionally the socio-economic implications of the company’s actions on the wildlife trade, needs a careful study as this seems to have both positive and negative impacts on the people living in the various village community. These people seem to be well linked to others in the cities, and they are all collectively motivated by the trade in game and other social needs, to continue in this practice.
TRANSFORMATION DE BOIS IVOIRIEN (TBI) – La COTE D’IVOIRE This is a privately owned company, located in the industrial zone of Daloa, and established with the objective of exploiting the forest tree resources, primary processing and marketing. As a forest enterprise, TBI had access to two sources of raw material base namely a natural forest concession and a state-established and also state-owned forest plantation. Based on an exploitation agreement between TBI and the State forestry organisation-SODEFOR, the company harvested teak, in the form of thinnings, under the supervision of SODEFOR, for both processing and export. The operations in the natural forest, which is made up of two different operational sites, has a total area of 160,000ha. Due to the effects of various forms of human activities in most of these areas, the operations of the company in this area was based more on the principle of undertaking a salvage felling operation rather than ensuring the strict management of these resources. As a result of serious forest encroachment, due to the establishment of farms, such lands can at best be subjected to a tree salvaging operation. An intervention, which is perhaps short of managing the resource base, but ensures the achievement of economic objective more than any thing else.
CONCLUSIONS AND RECOMMENDATIONS Conclusions: •
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Essentially, under the definition of sustainable forest management, the entire previous concept of forests in relation, especially to the role of most of the private sector in the rather relatively narrow perspective, such as it would be applicable to most businesses of making profits at all costs, in order to satisfy the fiduciary responsibility to their shareholders, has become more demanding and challenging. However in the African region of the ITTO Producer member countries, some few enterprises have really improved their management practices to some acceptable threshold levels , while a lot more are in various stages of doing so, as far as SFM is concerned in the region as a whole. At least in the case study examples from the companies especially from Gabon, Ghana, Congo, and also Togo, there were visible signs of improved management practices. A vivid manifestation of this leap in progress to SFM is as found in the case of the Groupe Rougier of Gabon. Additionally as it was also indicated by the Q500 survey results, the company Thanry-CEB also of Gabon has some 615,000ha of natural tropical forest, already certified. This, therefore bringing to two the number of natural tropical forest concessions of private sector companies, with management practices certified in the region. For a sizeable number of the private enterprises, however, the requirements of SFM will indeed have a paradoxical effect on their functional abilities and styles of operation, as their current operational activities do not mirror these requirements, and for this reason makes them extremely sensitive to any request for information on their SFM activities.
Sustainable Management of Tropical Forests – Private Sector Experiences •
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A major contributory factor for those private enterprises in Africa, who have make pragmatic strides to SFM is based on their ability to translate commitments into activities and to shoulder a majority or all the associated costs, either through external development support initiatives or solely by themselves. As exemplified in the case studies of Groupe Rougier, CIB of Congo and Samartex of Ghana. For the purposes of ensuring as well as improving their practices at the forest management unit level, most of these determined companies appeared to have exhibited a trend towards the preparation of a management plan or updating an existing one based on management inventories; the undertaken of socio-economic and other complementary studies, in order to appreciate the growth dynamics of these forests, followed by the choosing of the management parameters and prescriptions relating to production and harvesting. This implementation trend is typified in both the natural forests of the Groupe Rougier of Gabon, also Samartex of Ghana and CIB of Congo; and the planted forests of L’ODEF and those from which the TBI of La Cote d’Ivoire operated. Other factors, including the scale of operation of the enterprise as supported by the size and extent of the allocated forest concession and also the desired market image seem to have an important influence on the readiness or otherwise to participate in SFM initiatives. At the level of most of the companies there was a general paucity of evidence relating to serious abuses of forestry laws. There were enough indicators to show, the total or apparent lack of knowledge especially with reference to the use of the harmonised ATO and ITTO Principles Criteria and Indicator for the sustainable management of the African tropical natural forests. For most of enterprises, this seemed to be a major constraint in ensuring sustainability and integrity of forest concessions. Although the level of engagement in NWFP is not very encouraging, an enterprise such as Samartex of Ghana , is making some inroads at commercially promoting some activities in this direction. Most of the recorded R&D activities taking place at the level of the enterprises were donor initiated as well as driven. In a few cases collaborations between the companies and some of the donor agencies, have flourished as projects contributing to knowledge on the management of the African forests.
Recommendations: •
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In recognition of the expanded roles for the private sector under the definition of SFM both the ATO and ITTO will have to assist the private sector in more pragmatic ways either through project activities or re-packaging the required information on the principles of SFM to be as user friendly as possible for all the identifiable scales of operatives as well as the shades of enterprises in this stakeholder group. There is a need for a constructive and continuous dialogue between the private sector ,in all the ITTO African Producer Member countries with their forestry authorities, as a basis of developing a better partnership required to achieve or make progress towards SFM. On account of the sensitiveness of information on SFM, as far as the private sector operating in African forests are concerned, all future studies on this subject ought to have a component of extensively sensitising and educating the members of this group either through seminars or other appropriate mechanisms. As costs form a major inhibitor to SFM initiatives in Africa, the private sector should endeavour to initiate collaborative initiatives with development partners in this direction and governments on the other hand ought to create relevant incentives that would collectively promote these principles. With many private sector enterprises operating as small or medium sized forest companies, without the ability to attract some of the capital required for undertaking some SFM activities, mechanisms for joint, shared or collective initiatives on SFM principles, could be promoted by governments under the auspices of State forestry research institute, on their behalf. Promoting forest certification as one of the important tools for the achievement of SFM, as well as developing the culture and the required structures of using both internal and external forest auditing methodology in forest concession management and assessment, by governments and the private sector respectively, could facilitate local capacity building, as it relates to both auditing and the processes leading to the rationalisation of forest management standards and their use. Thus minimising the existing market differentiation created between the local and external markets, with reference to SFM requirements. Part of government revenue from forest taxes ought to be used for supporting SFM initiatives of the private sector including the publication of finding made as a result of their R&D activities. Developing mechanism for better consensus building through the initiative of country forestry authorities, could promote the pro-activeness of the private sector to SFM in most of the African ITTO Producer member countries.
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Sustainable Management of Tropical Forests – Private Sector Experiences RESUME ANALYTIQUE INTRODUCTION Généralités Les défis de l’aménagement forestier auxquels sont confrontés la plupart des pays africains sont divers et complexes, étant influencés, semble-t-il, par toutes sortes de facteurs sociaux, ethniques, culturels et économiques. Cette situation semble être compliquée par le fait que la plupart des forêts en cause sont désignées comme étant des ressources appartenant à l’Etat ou au gouvernement. Par conséquent, les questions relatives à leur aménagement sur une base durable ont fait l’objet de controverses étant donné que les rôles et les responsabilités connexes des groupes existants de parties prenantes semblent plus imaginaires que réels. Tandis que l’on dispose de quelques informations sur le rôle, en particulier des gouvernements et de quelques autres acteurs, dans les activités de gestion forestière, la contribution du secteur privé lui-même à cet égard semble être plutôt de caractère général. Ce qui fait naître certains doutes quant à l’empressement et aux capacités du secteur privé de faciliter, techniquement aussi bien qu’économiquement, à la gestion des forêts tropicales, et d’y participer en plus de tous autres intérêts.
Objectifs L’intention de la présente étude en général, en ce qui concerne la région africaine, est d’approfondir les informations au sujet de la contribution du secteur privé à l’aménagement des forêts, dans la poursuite de ses objectifs aussi bien collectifs qu’individuels, commerciaux ou économiques. Elle cherchera d’une part à faciliter l’accès à une telle information et aux expériences sur des cas de procédures de gestion forestière ayant réussi et contribuant à la réalisation de l’Objectif 2000 de l’OIBT et, d’autre part, à promouvoir l’utilisation des informations recueillies. Méthodologie Cette étude, à laquelle ont participé les neuf (9) pays producteurs africains membres de l’OIBT, s’est déroulée en deux phases. Principalement, elle a produit des informations obtenues à l’aide d’un premier questionnaire -Q500 ou SQ1adressé à autant d’entreprises forestières que possible dans tous les pays. Ces informations ont été analysées en fonction de critères élaborés en vue d’identifier les cas de réussite. La seconde phase impliquait la préparation d’études sur les cas considérés comme des réussites, en procédant à des visites sur le terrain, des entrevues, puis l’analyse des documents concernant ces expériences selon les réponses à un second questionnaire, désigné ‘SQ2’. Pour faciliter ce processus dans la région africaine, les pays producteurs membres de l’OIBT ont été différenciés comme appartenant à deux sous-régions, c.-à-d. la sous-région d’Afrique du Centre et la sous-région d’Afrique de l’Ouest. Les pays de la sous-région d’Afrique du Centre comprennent le Cameroun, la République centrafricaine, le Congo, la République démocratique du Congo et le Gabon. Ceux de la sous-région d’Afrique de l’Ouest sont la Côte d’Ivoire, le Ghana, le Libéria et le Togo.
Les concepts d’aménagement forestier durable (AFD) Bien que le concept d’aménagement durable tel qu’il s’applique aux forêts soit, comme on le sait, extrêmement large et, par conséquent, défini de différentes manières par plusieurs autorités, il représente dans le contexte de cette étude l’aménagement durable de la forêt tropicale, tel que défini par l’Organisation internationale des bois tropicaux. C’est donc le processus d’aménagement de forêts en vue d’objectifs clairement définis concernant la production soutenue de biens et de services désirés sans porter atteinte à leur valeur intrinsèque ni compromettre leur productivité future, et sans susciter d’effets indésirables sur l’environnement physique et social. Les concepts de l’AFD ont donné lieu à des initiatives visant à élaborer des principes, critères et indicateurs relatifs à la gestion des forêts, à commencer par celle de l’OIBT qui a fait oeuvre de pionnier en la matière. Cependant, dans la région africaine, l’Organisation africaine du bois, en collaboration avec le CIFOR, a également mis au point un ensemble régional de PC& I pour l’aménagement des forêts tropicales naturelles d’Afrique. Ces deux initiatives distinctes, dans la mesure où elles se rapportent à l’aménagement des forêts en Afrique, ont été ultérieurement harmonisées afin d’atteindre les objectifs d’aménagement. De façon générale, dans les pays considérés dans la présente étude, ces ensembles de principes, critères et indicateurs semblent en fait susciter énormément d’intérêt pour les questions et les activités concernant la certification des forêts.
Sustainable Management of Tropical Forests – Private Sector Experiences Le secteur privé dans la foresterie D’après diverses formes de classification établies par différentes autorités, on note des différences significatives de spécialisation et de dépendance entre les acteurs de l’ensemble du groupe de parties prenantes du secteur privé visà-vis des pratiques d’aménagement forestier, ce qui se reflète par conséquent dans leur niveau d’intérêt, de connaissance, de motivation et de désir de les appliquer. Il en résulte une diversité d’entreprises et d’organisations, certaines préférant s’en tenir à des activités d’exploitation commerciale, alors que d’autres élargissent le rôle qu’elles jouent, conformément à la définition de l’AFD, de manière à: • • • • • • • •
réduire au minimum l’impact sur l’environnement; compenser les impacts des opérations en investissant dans des activités liées à la conservation ailleurs dans la concession; partager les avantages économiques de l’extraction du bois sur une base plus équitable; respecter les communautés et travailleurs locaux et promouvoir des droits plus clairs en matière d’utilisation des terres et des ressources; inclure dans les ressources forestières non seulement le bois mais également les produits forestiers non ligneux; réduire au minimum les besoins de prélèvement des ressources; assurer la transparence des opérations; contribuer aux connaissances scientifiques.
Dans la région, l’engagement à mettre en oeuvre des pratiques d’AFD et les preuves de leur application semblent limités, étant donné que leur application dépend en grande partie de la volonté expresse des gouvernements. Néanmoins, plusieurs entreprises rassemblées au sein de l’Association interafricaine des industries forestières (IFIA), une fondation européenne pour la conservation des ressources forestières africaines qui compte 17 membres principaux s’occupant de 20 millions d’ha environ de forêt, ont décidé de tenir compte des facteurs ci-dessus dans leurs opérations, ce qu’elles ont confirmé en septembre 1999 à Milan.
La situation régionale de la foresterie Les ressources forestières des neuf pays producteurs membres de l’OIBT sont extrêmement variées en ce qui concerne la qualité par rapport à la diversité des espèces, ainsi que leur étendue et les zones qu’elles recouvrent. S’agissant des forêts naturelles, tandis que certains pays comme la Côte d’Ivoire et le Ghana n’ont plus beaucoup de forêts inexploitées, d’autres comme le Congo, la République centrafricaine et le Gabon ont encore d’assez vastes superficies forestières inexploitées dont la gestion semble poser de sérieuses difficultés. Les cinq pays producteurs membres de l’OIBT de la sous-région d’Afrique du Centre possèdent environ 35 pour cent de toutes les forêts africaines et, en termes relatifs, une superficie de forêt par habitant supérieur à la moyenne. Les quatre autres pays producteurs membres de l’OIBT de la sous-région d’Afrique de l’Ouest possèdent moins de 3 pour cent de toutes les forêts africaines et une superficie par habitant inférieure à la moyenne. Les taux de déboisement, de dégradation des forêts et d’épuisement des ressources forestières dans la sousrégion d’Afrique de l’Ouest sont visiblement plus élevés que ceux qui se manifestent dans les pays de la sous-région d’Afrique du Centre. Ces circonstances ont été attribuées aux activités d’agriculture itinérante, d’exploitation forestière et de conversion à l’agriculture. En raison d’apports financiers limités, la plupart des initiatives de plantation forestière ont été promues sous la forme et à caractère d’activités de centre de recherches. Dans certains pays cependant, la plupart des activités de foresterie dépendent totalement des forêts plantées comme au Togo, ou partiellement comme en Côte d’Ivoire et au Ghana. En ce qui concerne la gestion forestière, les prélèvements et la production industrielle de bois ronds représentent peut-être collectivement la principale intervention de gestion, qui est généralement opérée par la plupart des entreprises du secteur privé dans la région. Essentiellement, toutefois, l’évaluation des tendances du volume et de la valeur que ces opérations contribuent aux économies des pays concernés a toujours été faussée par les activités d’exploitation forestière illégale, signalées et non signalées. Hormis diverses formes de moyens logistiques et d’équipements dans lesquels les gouvernements et le secteur privé investissent de plus en plus, en vue d’améliorer les pratiques de gestion forestière, c’est aux seules entreprises du secteur privé que l’on peut attribuer les investissements substantiels destinés à la construction de toutes sortes et classes de routes dans les zones forestières de l’ensemble de la région. La plupart des pays ont révisé leurs politiques et leurs cadres législatifs pour accroître les contributions de tous les acteurs forestiers pertinents à la gestion des forêts. D’autre part, leur efficacité ou non ne peut être déterminée isolément, étant donné qu’ils sont liés à d’autres domaines plus larges de politiques et de législations.
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Sustainable Management of Tropical Forests – Private Sector Experiences Le rôle ou la place du secteur privé dans l’investissement pour la mise en valeur durable des forêts En réalité, sans disposer des ressources nécessaires pour prévoir et évaluer la faisabilité économique de leur rôle plus large que suppose la définition de l’AFD, en ce qu’il se rapporte aux forêts tropicales africaines, les entreprises ont eu tendance à faire des choix quant à leurs interventions de gestion. En l’absence de prescriptions détaillées, auxquelles se reporter ou qui pourraient être considérées comme une forme de pratique normalisée, les entreprises ont dû rationaliser leurs activités de gestion de leur propre initiative. Il s’ensuit que la qualité des résultats a tendance, dans une très large mesure, à être limitée par des contraintes de coût et d’investissement. Pour la plupart des entreprises du secteur privé, la tendance à se conformer grosso modo à des règlements forestiers dans la plupart des pays de la région est de nature à peu les inciter à s’investir dans l’application de la large gamme des mesures techniques et des prescriptions forestières d’un système de gestion évolué. En ce qui concerne les autres, plus la superficie de la concession forestière est étendue et plus diversifié est le mélange d’espèces d’intérêt commercial qu’elle contient, plus les entreprises sont incitées à se conformer à des pratiques de gestion forestière plus durables. Après s’être efforcées d’améliorer leur image sur le marché, leur part du marché et leur attachement à des pratiques durables, certaines entreprises ont réussi à obtenir la certification de leur gestion forestière et d’autres font aussi leur possible pour l’obtenir. En juillet 2003, il existait au Gabon deux entreprises dont des concessions de forêts naturelles avaient été certifiées selon le régime de la Fondation Keurhout.
RÉSULTATS DU PROJET Les questionnaires de l’enquête ont produit des réponses de la part d’entreprises de sept (7) pays dans la première phase. Ultérieurement, dans la seconde phase, au total cinq (5) études de cas ont été établies après la sélection d’une entreprise de chaque pays ayant répondu à l’enquête. La première phase de l’étude, qui était fondée sur le questionnaire Q500, a produit des réponses du secteur privé des quatre (4) pays membres suivants de la sous région d’Afrique du Centre: Cameroun, République centrafricaine, Congo et Gabon; ainsi que des trois (3) pays de la sous-région d’Afrique de l’Ouest suivants: Côte d’Ivoire, Ghana et Togo. Après une analyse et en appliquant les critères de sélection élaborés par le projet, une étude détaillée, guidée par le format du questionnaire QS2, a servi à préparer, pour la seconde phase de l’étude, des études de cas d’entreprises basées sur des visites directes aux entreprises/sites. Les réponses et les résultats à l’enquête Q500 et au questionnaires QS2 sont indiqués dans le Tableau A . Essentiellement, le questionnaire de l’enquête Q500 a produit au total 55 réponses d’entreprises des sept (7) pays ayant répondu. Ce chiffre représente 15 pour cent du taux de réponse pour la région africaine. Le nombre le plus élevé de réponses est parvenu du Ghana (30 entreprises) pour la sous région d’Afrique de l’Ouest, tandis que le plus grand nombre de réponses correspondant de la sous région d’Afrique du Centre était celui du Congo (7 entreprises). Il est possible que ce taux de réponse résulte en partie de plusieurs facteurs, parmi lesquels tergiversation, hésitation à participer à l’enquête et indifférence de la part des entreprises et de divers organismes devant des demandes persistantes d’information. Tableau A. Résultats des questionnaires Q500 et QS2
Pays SOUS-REGION D’AFRIQUE DU CENTRE Cameroun République centrafricaine Rép. démocratique du Congo Rép. du Congo Gabon SOUS-REGION D’AFRIQUE DE L’OUEST Côte d’Ivoire Ghana Libéria Togo TOTAL
Réponses au questionnaire Participation des Taux de réponse de l’enquête Q500 entreprises à l’enquête QS2 4 sur 50 envoyés 3 sur 30 envoyés 0 sur 30 envoyés 7 sur 25 envoyés 5 sur 30 envoyés
8% 10% Nul 28% 16%
Pas de réponse Pas de réponse Nulle Oui Oui
5 sur 65 envoyés 30 sur 110 envoyés 0 sur 25 envoyés 1 sur 1 envoyé
7% 27% Nul 100%
Oui Oui Nulle Oui
55 sur 366
15%
5 sur 7 sélectionnées
Sustainable Management of Tropical Forests – Private Sector Experiences PREMIÈRE PARTIE DE L’ENQUÊTE – Q500 Une analyse des réponses au questionnaire de l’enquête Q500 est présentée ci-après sous différentes rubriques générales. Caractère des entreprises Les dix-neuf (19) répondants des quatre (4) pays de la sous région d’Afrique du Centre, à savoir le Cameroun, la République centrafricaine, le Congo et le Gabon, étaient tous des entreprises privées. Sur le total de 36 répondants des trois pays de la sous-région d’Afrique de l’Ouest, à savoir la Côte d’Ivoire, le Ghana et le Togo, on a observé deux types de propriété. Tandis que tous les répondants de Côte d’Ivoire étaient des entreprises privées, 90 pour cent des répondants du Ghana étaient également des entreprises privées, mais le restant étaient des entreprises publiques. La seule entreprise légalement autorisée à gérer des forêts et à commercialiser les produits et les ressources de la forêt au Togo est également publique. Pour l’ensemble la région africaine, 94 pour cent des répondants étaient des entreprises du secteur privé et 6 pour cent du secteur public.
Instabilité du régime foncier Le fait que certains nouveaux concepts basés sur la foresterie communautaire, la création d’aires de conservation, etc., sont de plus en plus mis en oeuvre dans les domaines de concession des entreprises, donne l’impression générale que la situation relative à la jouissance des forêts continue d’évoluer. •
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Propriété de la base des ressources forestières. La presque totalité de la base de ressources forestières des répondants de la sous région d’Afrique du Centre était des forêts domaniales, quelques-unes ayant récemment été créés et reconnues forêts communautaires, en particulier au Cameroun et au Gabon. Les concessions forestières des entreprises en Côte d’Ivoire et au Togo appartiennent également au gouvernement ou à l’Etat. Celles du Ghana sont désignées en tant que forêts de terres ancestrales qui sont légalement prises en charge par le gouvernement et qui sont uniquement sous la tutelle de l’Etat en faveur des propriétaires indigènes. Types de concessions forestières La base de toutes les concessions forestières des répondants de la sous région d’Afrique du Centre est la forêt naturelle, tandis qu’environ 94 pour cent des répondants de la sous région d’Afrique de l’Ouest dépendent également d’une base de forêt naturelle. Cependant, environ 19 pour cent des répondants d’Afrique de l’Ouest dépendent totalement ou partiellement de concessions de plantations forestières. Superficie des concessions forestières En général, les concessions dans la forêt naturelle que l’on trouve chez les répondants des pays de la sous région d’Afrique du Centre sont plus grandes que dans la sous région d’Afrique de l’Ouest, soit en moyenne plus de 350 000 ha par entreprise. Quant aux répondants de la sous-région d’Afrique de l’Ouest, vu le manque d’informations reçues, il n’a pas été possible d’estimer aisément la taille moyenne exacte des concessions, mais elles sont relativement plus petites. L’agriculture itinérante Quelque 68 pour cent des répondants de la sous région d’Afrique du Centre et 75 pour cent de ceux d’Afrique de l’Ouest ont indiqué que les communautés locales vivant à l’intérieur et autour de leurs concessions pratiquent l’agriculture itinérante. En général, la tendance de la situation concernant la jouissance des ressources forestières semble être celle de transition, passant du contrôle des terres forestières par les agences centralisées à l’octroi de droits individuels ou collectifs aux entreprises et aux communautés locales, en vue d’améliorer, entre autres, la sécurité de tenure.
Intégration des activités et valeur ajoutée Sur un total des 19 répondants de la sous région d’Afrique du Centre, toutes les entreprises, sauf une, étaient engagées dans une activité de transformation ou une autre. Les 36 répondants de la sous région d’Afrique de l’Ouest étaient tous engagés, sous une forme ou une autre, dans une activité de transformation à valeur ajoutée. Le sciage était la forme prédominante d’activité d’intégration en aval, suivie de diverses activités de transformation, dont la fabrication de placages, de moulurés et de meubles, suivie de près de la fabrication de contreplaqué.
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Sustainable Management of Tropical Forests – Private Sector Experiences Dans la sous région d’Afrique du Centre, 68 pour cent des répondants intègrent leurs ressources forestières à des scieries, 11 pour cent à des usines de contreplaqué et 16 pour cent à la transformation de placages et d’autres activités à valeur ajoutée. Dans la sous région d’Afrique de l’Ouest, 89 pour cent de répondants intègrent leurs ressources forestières à des scieries, 25 pour cent à des usines de contreplaqué et 36 pour cent à la fabrication de placages, moulurés et toute autre fabrication de produits à valeur ajoutée. •
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Production de grumes En termes relatifs, les répondants de la sous région d’Afrique du Centre produisent un plus grand volume de bois rond industriel de grumes prélevées dans leurs forêts naturelles que n’en produisent leurs contre-parties de la sous région d’Afrique de l’Ouest. Les entreprises de la sous région d’Afrique de l’Ouest, en particulier celles qui sont basées en Côte d’Ivoire, au Togo et, à un degré moindre, au Ghana, produisent quelques bois ronds industriels de grumes prélevées dans des forêts plantées, environ 70 pour cent de celles-ci dans les forêts ivoiriennes. Production de sciages et d’autres produits de transformation Relativement parlant, la transformation primaire et secondaire des entreprises est beaucoup plus active dans la sous région d’Afrique de l’Ouest que dans la sous région d’Afrique du Centre
Développement des ressources humaines Les activités des répondants en ce qui concerne le développement des ressources humaines ont des incidences directes et indirectes, respectivement sur les employés et sur la communauté. •
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Catégories de personnel et formation des travailleurs Dans la sous région d’Afrique du Centre, sur les 8.726 employés enregistrés des 19 répondants, un peu moins de 4 pour cent étaient des professionnels, 37 pour cent des travailleurs qualifiés et 52 pour cent des travailleurs non qualifiés. Dans la sous région d’Afrique de l’Ouest, sur légèrement plus des 17.000 employés enregistrés travaillant dans les 36 entreprises des répondants, 8 pour cent étaient des professionnels, 30 pour cent des travailleurs qualifiés et 60 pour cent des travailleurs non qualifiés. Au plan régional, la plupart des entreprises ont tendance à employer peu de personnel professionnel et plus de travailleurs non qualifiés. Dans les deux sous-régions, les entreprises préfèrent en général offrir à leurs employés principalement une formation du type ‘sur le tas’, assortie de quelques stages de courte durée et de séminaires organisés sur place et à l’étranger. Dispositions de caractère social Dans l’ensemble de la région, la plupart des répondants ont mis en place diverses dispositions de caractère social à l’intention de leurs employés, notamment dispensaires, écoles et logements, qui représentent les trois premières priorités, en plus de certaines autres dans la plupart des cas. Emploi de membres de la communauté locale par les entreprises Près de 63 pour cent environ des répondants de la sous région d’Afrique du Centre offrent, sous une forme ou une autre, des emplois aux membres des communautés locales vivant à l’intérieur et autour de leurs concessions ou sites d’exploitation; tandis que 26 pour cent ont indiqué qu’ils ne le faisaient pas. D’autre part, 78 pour cent des entreprises d’Afrique de l’Ouest ont répondu qu’elles ne donnent pas de travail aux membres des communautés locales et 19 pour cent seulement le font. A l’échelle régionale, environ 33 pour cent des entreprises offrent des emplois aux membres de la communauté locale, sous une forme ou une autre, tandis que 61 pour cent environ d’entre elles n’engagent jamais les habitants locaux. Nombre d’accidents et mortalité De façon générale, le nombre de décès pour cause d’accident et la mortalité semble dénoter une tendance analogue dans les deux sous-régions, en dépit de la légèreté avec laquelle cette question a été traitée par les répondants, ce qui donne également une idée des conditions générales de santé et de sécurité dans les entreprises. Le nombre de ces accidents mortels semble se situer à 1 ou 2 par mois pour la plupart des répondants.
Négligence des produits forestiers non ligneux (PFNL) En règle générale, la récolte de la plupart des PFNL pose des problèmes en raison de caractéristiques telles que leur grande diversité, et le fait qu’ils sont peu abondants et largement distribués, ce qui contribue à une production irrégulière, car elle exige également beaucoup de temps pour trouver ces produits et entraîne des coûts. Leur faible valeur potentielle et les risques élevés de leur récolte, comparée à celle du bois, sont d’autres facteurs qui semblent en faire une option commerciale moins attrayante pour la plupart de ces opérateurs d’exploitation forestière commerciale.
Sustainable Management of Tropical Forests – Private Sector Experiences Ce qui explique sans doute pourquoi la plupart des 55 entreprises dans les deux sous-régions ne s’intéressent pas, ou très peu, aux PFNL d’aucune sorte.
Différences des normes sylvicoles et du contrôle des forêts Certaines des principales activités contribuant à l’exécution de bonnes pratiques de gestion forestières comprennent: •
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Pratiques de foresterie durable. Dans la sous région d’Afrique du Centre, 79 pour cent des entreprises ont répondu qu’elles pratiquaient la foresterie durable, pratique que la plupart des entreprises ont dit avoir été introduite entre 1995 et 2002. Tous les répondants de la sous région d’Afrique de l’Ouest ont également indiqué qu’ils pratiquaient la foresterie durable et que celle-ci avait été introduite de 1980 à 1998. Plan de gestion et période de planification En général, 69 pour cent des entreprises de la sous région d’Afrique du Centre ont répondu qu’elles avaient des plans de gestion, et 89 pour cent de celles de la sous région d’Afrique de l’Ouest ont également confirmé qu’elles en disposaient. Pour l’ensemble de la région, les plans de gestion de ces entreprises portent sur des périodes allant de 1 à 30 ans. Conformité des plan de gestion aux directives de l’OIBT Environ 42 pour cent des répondants de la sous-région d’Afrique du Centre ont affirmé que leurs plans de gestion étaient conformes aux directives de l’OIBT, et 86 pour cent de leurs contre-parties de la sous région d’Afrique de l’Ouest ont également indiqué une conformité analogue. Grands systèmes de gestion appliqués On trouve essentiellement dans la région la prédominance d’un seul grand type de système de gestion pratiqué dans l’ensemble de la sous région d’Afrique du Centre, et la prédominance d’un mélange de deux ou plusieurs grands types de système de gestion pratiqués dans les concessions forestières des répondants d’Afrique de l’Ouest. Possibilité annuelle La prescription d’une possibilité annuelle semble être un outil de gestion commun utilisé par les autorités forestières dans presque tous les pays considérés dans cette étude. Toutefois, le degré auquel il est strictement respecté par les entreprises, et les sources de données utilisées pour déterminer la possibilité, semblent varier considérablement de pays à pays. Plans et systèmes de récolte appliqués La plupart des répondants dans les deux sous-régions préparent des plans de récolte. Les entreprises préfèrent en général avoir recours aux systèmes de traînage par tracteur et de téléphérage par câble dans les deux sousrégions, soit séparément soit en parallèle. Inventaire avant la récolte Environ 89 pour cent des répondants de la sous région d’Afrique du Centre et 94 pour cent des répondants d’Afrique de l’Ouest ont affirmé qu’ils procédaient à ce type d’activité dans leurs opérations. Planification de routes Environ 79 pour cent des répondants de la sous région d’Afrique du Centre et 83 pour cent de ceux de la sous région d’Afrique de l’Ouest ont entrepris la planification de routes. Zones tampons (stream buffers) Environ 42 pour cent des entreprises de la sous région d’Afrique du Centre et 61 pour cent des répondants de la sousrégion d’Afrique de l’Ouest prennent des dispositions pour inclure des zones tampons dans leurs opérations. Abattages dirigés Dans ce domaine également, environ 42 pour cent des entreprises de la sous région d’Afrique du Centre par rapport à 69 pour cent des répondants de la sous région d’Afrique de l’Ouest ont indiqué qu’ils utilisaient cette technique améliorée d’abattage. Inspection de la régénération après la récolte Environ 42 pour cent des répondants de la sous région d’Afrique du Centre et 86 pour cent de ceux de la sous région d’Afrique de l’Ouest inspectent la régénération après la récolte. Modes de régénération La plupart des entreprises (65 %), dans les deux sous-régions, dépendent de la régénération naturelle comme principal mode de régénération dans les forêts parcourues par les coupes. D’ autre part, certaines activités de plantation d’enrichissement et de reboisement en vue de créer des plantations sont plus fréquentes dans la sous région d’Afrique de l’Ouest que dans la sous région d’Afrique du Centre.
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Autres formes de traitements sylvicoles Très peu d’entreprises des deux sous-régions ont fait savoir qu’elles procédaient à d’autres formes de traitements sylvicoles, lesquels comprennent en général délianage, nettoiement, annélation, etc.
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Activités de R&D Dans la sous région d’Afrique du Centre, environ 47 pour cent des répondants exécutent des activités de R&D, tandis que 26 pour cent ne prévoient pas de telles activités. Dans la sous région d’Afrique de l’Ouest, environ 81 pour cent des répondants entreprennent des activités de R&D, mais environ 17 pour cent ne participent à aucune forme de R&D. Projets financés de l’extérieur dans les concessions Environ 52 pour cent des répondants de la sous-région d’Afrique du Centre hébergent dans leurs concessions des projets financés de l’extérieur. Dans la sous région d’Afrique de l’Ouest, 11 pour cent seulement ont confirmé la présence de projets financés l’extérieur dans leurs concessions forestières.
Connaissance des C&I, des normes minimales acceptables, etc. •
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Normes minimales acceptables sous forme de C&I Bien que certaines des entreprises de cette région soient au courant des critères et indicateurs résultant d’initiatives distinctes de l’OIBT et de l’OAB, ainsi que de ceux élaborés au niveau national par certains pays, la plupart des entreprises ont généralement fait preuve d’une indifférence totale à faire quelque commentaire que ce soit à cet égard. Elles préféraient se reporter plutôt à quelque code national local de pratiques forestières. Concessions forestières certifiées Il n’y avait qu’une entreprise, représentant 5 pour cent de répondants de la sous région d’Afrique du Centre, à savoir la Thanry-CEB du Gabon, titulaire d’une concession de forêt tropicale naturelle certifiée. Une seconde est cependant venue s’y ajouter au cours de la période de l’étude (en juillet 2003). Aucune des entreprises de la sous région d’Afrique de l’Ouest n’avait de concession forestière certifiée. Intention d’obtenir une certification forestière Environ 63 pour cent des répondants de la sous région d’Afrique du Centre ont exprimé l’intention d’obtenir une certification forestière au cours de la période de 2002 à 2006. Dans la sous région d’Afrique de l’Ouest, environ 25 pour cent seulement des répondants ont manifesté leur intention d’entreprendre cette activité en 2003.
Ainsi, au total, 38 pour cent des entreprises dans la région africaine ont exprimé leur volonté de faire certifier leurs forêts dans un proche avenir.
Durabilité socio-économique et durabilité environnementale Dans la plupart des cas, le point névralgique du concept de durabilité des ressources forestières est la question de savoir comment les parties prenantes peuvent réaliser un équilibre entre, d’une part le niveau d’utilisation de ces ressources et leur conservation, et, d’autre part, un niveau net de développement plus élevé. •
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Services offerts par les concessions forestières La plupart des concessions forestières de production des répondants dans la région offrent également des services qui prennent le forme de conservation, de refuge et de protection d’espèces sauvages, ainsi qu’à des fins éducatives. Communautés locales vivant à l’intérieur et autour des concessions forestières Au total, environ 96 pour cent des entreprises dans la région ont signalé la présence de communautés locales vivant à proximité de leurs concessions forestières. Autorisation accordée aux communautés locales de chasser, pêcher, ou de procéder à la cueillette de produits pour leur propre alimentation Environ 84 pour cent des entreprises de la sous région d’Afrique du Centre autorisent ces activités. Dans la sous région d’Afrique de l’Ouest, environ 56 pour cent seulement des répondants semblent autoriser ces activités dans leurs concessions. Aires de conservation de la diversité biologique Dans ce domaine, 74 pour cent des entreprises de la sous-région d’Afrique du Centre, contre 83 pour cent de celles d’Afrique de l’Ouest ont signalé la présence de telles aires dans leurs concessions.
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Espèces menacées dans les concessions La plupart des entreprises ont confirmé à la fois la présence et l’absence d’espèces menacées dans leurs concessions forestières. Procès relatifs à des infractions aux lois forestières (1999–2000) Dans la sous région d’Afrique du Centre, aucun procès n’a été intenté contre 84 pour cent des entreprises; 5 pour cent seulement d’entre elles ont indiqué que des procès de cette nature avaient été intentés contre elles en 1999. En 2000, la situation a été plus ou moins la même, mais avec une légère réduction des nombres de procès: 78 pour cent sans procès, mais de nouveau 5 pour cent ayant débattu des affaires en justice.
Dans la sous région d’Afrique de l’Ouest, 86 pour cent des répondants n’ont eu aucun procès pour infraction aux lois forestières, tandis que 8 pour cent en ont eu en 1999. En 2000, aucun procès n’a eu lieu impliquant 92 pour cent environ des répondants et il n’y a eu de procès que pour environ 3 pour cent seulement.
SECONDE PARTIE DE L’ÉTUDE DE CAS – QS2 Au total, sept entreprises ont été sélectionnées à la suite de la phase d’enquête sur questionnaire (Q500), pour représenter chacun des pays participant à la phase d’étude QS2 durant laquelle devaient être préparées les études de cas sur les activités de gestion forestière des entreprises. Deux des sept entreprises ont refusé de participer, laissant les cinq entreprises énumérées ci-dessous: • • • • •
Congolaise Industrielle des Bois du Congo; Samartex Timber & Plywood Ltd du Ghana; Groupe Rougier du Gabon; Office de Développement et d’Exploitation des forêts du Togo; Transformation des Bois Ivoiriens de Côte d’Ivoire.
Les cinq études de cas présentent les scénarios de la situation des entreprises et leurs activités de gestion forestière en fonction de la disponibilité et de l’ampleur des ressources, ainsi que les méthodes de gestion appliquées et les progrès accomplis concernant la mise en oeuvre des principes de l’aménagement forestier durable. Trois de ces études de cas ont à leur actif le modèle et les prescriptions appliqués à la gestion des forêts tropicales naturelles, à savoir celles qui portent sur les entreprises du Congo, du Ghana et du Gabon. Les deux autres, qui sont de taille relativement petite à moyenne, font ressortir la qualité de leur gestion de plantations forestières, notamment dans le cas de l’entreprise du Togo, et, dans le cas de l’entreprise de la Côte d’Ivoire, un mélange de prélèvements dans la forêt naturelle et dans des forêts plantées sous la direction d’une organisation étatique. Les cinq études de cas mettent en évidence certaines des réalisations des différentes entreprises dans leurs activités de gestion forestière durable, ainsi que leurs contraintes et leurs intentions en ce qui concerne la réalisation de l’AFD. Les études permettent également de comparer et de différencier les objectifs de la gestion du point de vue d’une grande société multinationale d’une part et, d’autre part, les opérations effectuées sous l’égide du gouvernement ainsi que les opérations financées localement par des investissements.
Bref exposé des caractéristiques des études de cas CONGOLAISE INDUSTRIELLE DES BOIS (CIB) DU CONGO La CIB, située dans la partie nord du Congo, est une entreprise multinationale de grande échelle qui fait partie du grand groupe international Hinrich FELDMEYER-tt Timber International. Cette entreprise est titulaire de concessions forestières sur une superficie totale allant jusqu’à 1,3 million d’ha, répartis en quatre sites d’exploitation différents. Le type de végétation et de forêt consiste en un écosystème de forêts sempervirentes, pour la plupart denses et humides présentant diverses formes de couverts au niveau de la canopée. Deux de ses concessions ont une frontière commune avec le parc national de Nouabale-Ndoli, de sorte que l’entreprise a collaboré avec les gouvernements et d’autres intéressés à l’élaboration de divers protocoles concernant les espèces sauvages et la conservation. Toutes les opérations de récolte sont fondées sur des coupes de type sélectif, dont l’efficacité repose en grande partie sur l’expérience acquise et les observations faites au cours de plusieurs années d’exploitation. La plupart des arbres prélevés dépassent largement le diamètre minimal prescrit. L’entreprise dispose d’une équipe chargée des inventaires forestiers qui rassemble les données, ainsi que d’autres équipes qui entreprennent des études socio-économiques, etc., en vue particulièrement d’élaborer ses plans de gestion forestière.
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Sustainable Management of Tropical Forests – Private Sector Experiences La récolte du bois est bien coordonnée grâce à l’emploi d’outils modernes de planification, ainsi que de méthodes pour le zonage de la forêt avant la récolte, la planification de routes et le recours aux techniques d’abattage à faible impact. Elle possède tout le matériel mécanique nécessaire pour exécuter ses opérations de récolte comme prévu. Un des aspects essentiels de ses opérations après la récolte consiste à procéder avec diligence à un travail de récupération et d’utilisation des résidus d’exploitation. Ce travail garantit que la plus grande partie des déchets d’abattage sont évacués, facilitant ainsi la régénération naturelle et évitant la possibilité de feux de forêt. La formation aux techniques d’exploitation à faible impact est dispensée à l’équipe de l’entreprise chargée des coupes et les progrès en matière de productivité et de minimisation des impacts sur l’environnement sont surveillés régulièrement. La plupart des activités concernant la régénération après les récoltes sont étudiées conjointement par l’entreprise et une organisation paraétatique nouvellement créée s’occupant de reboisement et d’agroforesterie. Une équipe de construction et d’entretien des routes, possédant tout le matériel nécessaire, aménage des routes pour les récoltes ainsi que celles par lesquelles les produits de l’entreprise sont transportés jusqu’aux ports. Il existe en complément un réseau perfectionné d’autres moyens de transport comprenant le transport fluvial et les équipements nécessaires pour le faciliter. Toutes les activités de transformation de l’entreprise sont bien soutenues par un marché d’exportation bien développé car le marché intérieur est relativement très petit. En collaboration avec l’OIBT, de même qu’avec la Fondation Keurhout, l’entreprise semble être bien au fait des questions liées aux critères et indicateurs et à leur application à la gestion forestière, grâce à un atelier parrainé par l’OIBT à son intention. S’agissant du développement des ressources humaines, le personnel de CIB se monte à plus de 1665 employés qui reçoivent une formation dispensée par un collège technique et bénéficient de toutes les facilités de caractère social mises gratuitement à la disposition des travailleurs. Les investissements de l’entreprise relatifs à la transformation semblent augmenter de plus en plus, comme en témoigne la croissance de son effectif, d’environ 50 pour cent de 1998 à 2002. Du point de vue de ses contributions socio-économiques, l’investissement du capital des services sociaux de la CIB serait actuellement de l’ordre de 2 070 000 000 francs CFA, ce qui se traduit par les services dispensés à quelque 13.000 personnes vivant dans les villages créés grâce aux opérations commerciales de la CIB. Celle-ci a mis en place un hôpital, une infrastructure sportive et d’autres activités économiques. Son réseau routier et son programme d’entretien s’étendent jusqu’à la frontière avec le Cameroun pour soutenir diverses formes d’activités sociales et économiques. La CIB a mis en oeuvre un programme original bien-coordonné visant à détourner l’attention des populations locales des activités qui dégradent les forêts, des initiatives d’agriculture itinérante et de la chasse au gibier. En collaboration avec une organisation non gouvernementale de défense de l’environnement (ONGE) et le ministère de l’économie forestière, un partenariat a été développé en vue de gérer un parc national. Dans le cadre d’un projet parrainé par l’OIBT, ces organismes sont parvenus à établir un système d’écogardes qui fait appel à des personnes qualifiées pour surveiller les routes forestières et limiter le braconnage. Cette approche de partenariat en matière de gestion forestière comprend également d’autres volets, notamment sous forme d’activités de formation, de sensibilisation et de recherche. D’autre part, cette image que présente l’entreprise vis-à-vis d’une certaine ONGE internationale a freiné les efforts de l’entreprise de faire certifier ses opérations de gestion forestière. C’est une situation qu’elle s’applique fiévreusement à rectifier. La place qu’occupe l’entreprise et l’emplacement où elle se trouve par rapport à ses marchés, c’est-à-dire à quelque 1300 km de distance, exigent beaucoup des ressources de l’entreprise en temps, pour l’entretien des routes et pour assurer la sécurité des produits lors de l’acheminement vers le marché d’exportation. Du fait de fluctuations saisonnières, l’entreprise ne peut que partiellement compter sur le transport fluvial, et seulement durant certaines saisons de l’année. Le développement de nouveaux rapports avec certaines populations autochtones qui vivent dans la forêt et en sont tributaires a parfois été lent et a besoin d’être stimulé avec soin.
SAMARTEX TIMBER & PLYWOOD LTD. DU GHANA C’est une entreprise privée de grande échelle qui a hérité d’une longue tradition fondée sur une production soutenue de bois par une entreprise forestière précédente bien gérée. L’équipe de gestion actuelle fait partie d’un groupe basé en Allemagne. Ses opérations représentent une des plus grandes exploitations du Ghana. Son service de gestion forestière dispose de ressources adéquates, en termes d’outils et d’experts, qui lui permettent de déployer des activités liées à ses plans d’aménagement et de mise en valeur des forêts, et de suppléer ainsi aux responsabilités statutaires de l’Etat dans ce sens.
Sustainable Management of Tropical Forests – Private Sector Experiences Opérant à partir de concessions forestières de l’ordre de 145.000 ha, ses activités de gestion forestière reposent sur des rotations de quarante ans, chaque série faisant l’objet d’une récolte durable pendant une période de cinq ans. Le régime de gestion sylvicole des concessions forestières est basé sur le concept d’abattages sélectifs, dont le point fort est de respecter la possibilité annuelle prédéterminée par les autorités forestières. Toutes les opérations de prélèvement sont exécutées conformément aux prescriptions énoncées dans le Manuel ghanéen des procédures relatives à l’aménagement des forêts, lesquelles exigent, entre autres, des interventions très intensives avant et après la récolte. En ce qui concerne l’application et le respect des normes forestières minimales dérivées des critères et indicateurs, l’entreprise semble se conformer rigoureusement à la plupart des prescriptions énoncées en détail dans les normes ghanéennes en matière de forêts. Elle s’efforce également d’obtenir, probablement selon le régime du FSC, la certification de sa gestion forestière. Samartex dispose d’un équipement et de machines pour effectuer les récoltes et fait en sorte également que ses opérations n’entraînent qu’un faible impact sur le terrain. L’entreprise réalise en moyenne une production mensuelle de 10.000 m3 de grumes. La plupart des résidus d’exploitation et des déchets de bois sont triés, ces derniers servant à produire de l’électricité à des fins industrielles et domestiques. Grâce à une variété d’usines de transformation primaire et secondaire, allant de copeaux, placages tranchés et déroulés, sciage du bois, fabrication de contreplaqué, moulurage à un centre de sculpture du bois, presque toutes les grumes sont triées de manière à convenir aux meilleures utilisations finales. Quant au développement des ressources humaines, l’entreprise est fermement attachée à l’amélioration des aptitudes de sa main d’oeuvre et des membres de la communauté locale. L’entreprise a instauré un programme d’apprentissage bien coordonné, basé sur la sélection, pour son propre collège technique et dans d’autres buts de formation dispensée à l’extérieur. L’effectif de cette entreprise, qui se monte à 2350 employés, bénéficie gratuitement de services sociaux sous forme d’électricité, d’eau, de soins médicaux, ainsi que de logements et d’écoles pour les personnes à charge des travailleurs. Pour répondre aux besoins socio-économiques des communautés essentiellement rurales qui vivent à proximité des investissements de l’entreprise, celle-ci a donné la priorité aux domaines de l’éducation, de la santé et de l’entretien du réseau routier de la zone, en tant que contribution au développement national, en plus des impôts statutaires. Dans le cadre d’un programme relatif aux moyens d’existence, mis en oeuvre conjointement avec les communautés locales, l’entreprise a diversifié ses activités dans l’agroforesterie, essentiellement pour décourager la diffusion de l’agriculture itinérante. Elle procède également à la transformation des PFNL, en collaboration avec une firme basée en Allemagne qui se charge actuellement de R&D pour mettre au point, à partir d’une essence forestière, un édulcorant de boisson sans sucre. Dans le cadre de ses stratégies pour la protection des forêts, certains espaces désignés comme présentant des indices élevés de biodiversité sont conservés, et des stratégies de prévention des incendies sont strictement observées. Certaines des contraintes majeures qui semblent sérieusement venir à l’encontre des efforts de gestion durable de l’entreprise incluent la protection de la faune contre le braconnage ainsi que les prélèvements et le sciage à la chaîne du bois pratiqués illégalement dans ses concessions. Ceux qui sont impliqués dans ces opérations illégales étant les ‘copains’ préférés de la majeure partie des habitants de la communauté dans les villages de concessionnaires tels que cette entreprise, celle-ci essaie tant bien que mal de lutter contre ces activités.
OFFICE DE DEVELOPPEMENT ET D’EXPLOITATION DES FORETS (ODEF) DU TOGO L’ODEF est une organisation publique, agréée par loi et financée par l’Etat, en tant que seule organisation habilitée à poursuivre l’objectif de gestion et d’amélioration des ressources forestières de la nation ainsi que la commercialisation de leurs produits. Depuis le début de ses activités, à la suite d’un projet mené en 1971, cette organisation s’est fixé une cible annuelle de plantation sur 2000 ha. Cet objectif a été vigoureusement poursuivi en créant et gérant des pépinières en tant que moyens de production, ce qui fournit les intrants nécessaires pour créer les plantations. Grâce à l’élevage de semis par l’entreprise et aux techniques de préparation des sols, qui servent de base à ses prescriptions en matière de sylviculture et de gestion, l’Office a créé 10.000 ha de plantations qui se développent graduellement. Le programme de développement des plantations est axé sur cinq espèces, la principale étant Tectona grandis (teck). Toutes les plantations ont des plans de gestion qui sont passés en revue tous les dix ans. Sur la base des observations concernant la dynamique d’accroissement des espèces plantées et la périodicité déterminée des cinq espèces faisant partie de son programme de plantation, l’Office a établi des tables des volumes de production prédéterminés afin de guider diverses interventions de gestion, notamment les éclaircies à intervalles de 4 à 5 ans.
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Sustainable Management of Tropical Forests – Private Sector Experiences La possibilité annuelle établie pour toutes les opérations d’éclaircies est actuellement de 13.500 m3 des bois ronds, ce qui doit être limité à un secteur de 50 à 300 ha. par an. Toutes les formes d’interventions de récolte sont basées sur un plan de coupe, qui est coordonné, géré et contrôlé. La régénération après la récolte est soigneusement conduite afin de stimuler autant de régénération comme possible. Les tendances des récoltes qui ont eu lieu entre 1995 et jusqu’à présent font ressortir une augmentation de presque 180 pour cent du volume de bois récolté. La qualité des bois ronds industriels/grumes de sciage a été classée en tant que moyenne, leurs diamètres se situant entre 14 cm et 60 cm. Tous les produits des récoltes ont pu facilement être utilisés à des fins de transformation dans les installations de sciage de l’ODEF, ou ont été exportés sous forme de bois rond. La scierie, d’une capacité installée de 8000 m3 de sciage de grumes fonctionne actuellement à environ 62 pour cent de cette capacité par an et a un taux de restitution de 37 à 40 pour cent. Tous les produits du sciage sont aisément vendus sur le marché local, tandis que les exportations de l’Office se montent à environ 8.500 m3 des grumes par an. L’effectif de l’Office comprend des spécialistes forestiers ayant reçu une bonne formation et leurs collègues qui remplissent la plupart des fonctions de gestion et des fonctions techniques. La plus grande partie des opérations exigent une main d’oeuvre considérable car elles se déroulent à la ferme et nécessitent par conséquent l’emploi de beaucoup de travailleurs engagés temporairement, surtout pour le travail de plantation. L’Office participe à plusieurs programmes visant à permettre aux communautés rurales de trouver d’autres moyens de subsistance. Il a financé la mise en place de plusieurs services sociaux, y compris la construction et la réhabilitation de dispensaires, de puits, d’écoles, etc.. Sur la base d’une initiative destinée à répandre le système de culture taungya, cette organisation envisage d’élargir la participation des habitants à ses opérations et d’améliorer également les mécanismes de protection des forêts qui font davantage intervenir la population locale. Le recours aux feux non contrôlés dans les plantations et les zones environnantes est interdit. En outre, le pâturage des animaux à proximité des plantations n’est pas autorisé. Son réseau des routes autour des plantations a contribué à relier plusieurs villages entre eux et aux centres urbains. En tant qu’élément des rouages de l’Etat, l’Office contribue aux recettes de celui-ci sous forme d’impôts. En revanche, ses opérations concernant la gestion des forêts naturelles dégradées en appliquant des techniques de régénération naturelle ne semblent pas très concluantes. Il semble qu’elles dépendent excessivement d’actions visant à développer la plantation d’espèces exotiques et à très peu utiliser des espèces naturelles ou locales. On ne note aucune tendance à utiliser et appliquer les critères et indicateurs dans les procédures de gestion, notamment dans les plantations qui ont été établies. La loi forestière sur laquelle l’Office s’appuie essentiellement date d’il y a longtemps et doit être revue, afin de tenir compte de l’évolution des concepts relatifs à la pratique de l’AFD. La présence d’espèces sauvages et le niveau de biodiversité dans les plantations établies, par rapport à la végétation environnante, sont encore des sources de préoccupation et, par conséquent, justifieraient sans doute une étude en profondeur.
GROUPE ROUGIER DU GABON On peut dire que cette entreprise a une longue tradition d’industrie forestière au Gabon, car elle y a opéré pendant les 50 dernières années. Elle fait partie d’un groupe multinational, qui est également bien représenté dans les forêts du bassin du Congo de la plupart des pays de la sous région d’Afrique du Centre. Cette entreprise affirme que son attachement aux processus de gestion forestière résulte d’une multiplicité de facteurs de motivation: sauvegarde du patrimoine forestier au sein d’une concession durable; meilleures connaissance et compréhension des ressources forestières; rationalisation des activités d’exploitation forestière afin d’accroître la productivité; développement à long terme d’un projet d’activités à des fins de planification et d’investissement; et réponse aux espérances du marché et questions liées à la réputation de l’ensemble de la société. Ses concessions forestières occupent quatre sites opérationnels sur un total de 600.000 ha. Consciente de la nécessité de poursuivre une gestion plus rationnelle de sa ressource forestière, l’entreprise a engagé une firme d’experts-conseils française (FRM) en vue d’entreprendre des études préliminaires et de fournir l’orientation lui permettant d’atteindre cet objectif. Compte tenu de la vocation commerciale de l’entreprise, l’objectif primordial de sa gestion fondé sur la production a été de garantir la production durable de bois, y compris la durabilité des affaires de l’entreprise et celle de la forêt et de ses ressources. La préparation des plans d’aménagement a débuté par les inventaires dans les unités de gestion forestière de Haut-Abanga et Ogooue-Ivindo comprises dans les concessions de l’entreprise. Ce travail a nécessité des activités au sol et le recours aux informations produites par des cartes topographiques, des photographies aériennes et des images
Sustainable Management of Tropical Forests – Private Sector Experiences satellitaires, etc.., ainsi que la conduite d’études socio-économiques et autres études complémentaires, de même qu’une analyse qui visait à cerner les activités du plan stratégique de gestion couvrant une période de 20 à 30 ans. Sur la base des données d’inventaire et de la technique de modélisation de la croissance, des paramètres ont été établis pour la gestion de la série d’activités relatives à la production des arbres de la forêt. Le choix du paramètre de gestion était fondé sur la durée de la rotation, le diamètre minimal des arbres à prélever, la liste des espèces ciblées, etc. Le plan d’aménagement garantit non seulement une production soutenue de bois mais également la protection de l’eau, la conservation de la forêt présentant une biodiversité élevée, la protection des pentes et des terrains escarpés, ainsi que la conservation d’écosystèmes particuliers, y compris les berges des fleuves. En réponse aux observations faites dans les études préliminaires, l’entreprise a créé des placettes d’échantillonnage permanentes en vue de continuer à produire des informations sur les tendances écologiques et d’améliorer les prescriptions recommandées en matière de gestion sylvicoles. En outre, elle a entrepris des essais de régénération fondés sur des activités de plantation d’enrichissement. Les coupes autorisées, d’après la possibilité annuelle approuvée pour l’entreprise, ont été fixées à 285.000 m3. Sur le volume total des arbres prélevés, 85 pour cent appartiennent à la seule espèce Aucoumea klaineana (Okoumé), qui est plus ou moins la principale espèce de bois de premier ordre au Gabon. Les activités de transformation de l’entreprise sont bien intégrées et comprennent une usine de placages et de fabrication de contreplaqué. Cette usine utilise annuellement environ 66.000 m3 de grumes d’Okoumé pour produire des contreplaqués de la plus haute qualité pour le marché d’exportation. Les ressources humaines de l’entreprise, qui se chiffrent à quelque 950 employés, sont encouragées à poursuivre leur formation en cours d’emploi ou en participant à des programmes mis au point par des professionnels. L’entreprise met à la disposition des employés des services sociaux, à savoir des logements, des services de santé, l’eau et l’électricité. Les études socio-économiques menées ont révélé que près de 4000 personnes de la communauté locale vivent à proximité des aires de concession de l’entreprise. En conséquence, celle-ci a mis en place diverses mesures qui favoriseront et assureront une bonne coexistence avec cette population. Ainsi, vu ce développement, environ 25.000 ha de la concession forestière attribuée à l’origine à l’entreprise ont été cédés et transformés en forêt communautaire uniquement à l’usage de cette population. En ce qui concerne l’environnement, l’entreprise a pu délimiter un certain nombre d’aires de conservation qui renferment 29.900 ha d’écosystèmes vulnérables à protéger. Elle procède à une gestion rationnelle des ressources fauniques contre le braconnage et interdit la chasse à des fins commerciales dans la plupart de ses concessions, grâce à la formation d’une équipe d’écogardes qui vérifient et surveillent le mouvement des véhicules dans les zones forestières afin de détecter le gibier illégalement chassé. Dans le cadre des mesures prises par le gouvernement en vue de créer des parcs nationaux, en 2002 l’entreprise a dû céder 83.000 ha de plus de sa concession pour l’intégrer au parc national d’Invido, et l’entreprise fait partie du comité de gestion de ce parc. La préférence de l’entreprise pour la récolte de l’Okoumé, sans diversifier dans l’utilisation d’autres espèces, aura peut-être bientôt des incidences sur la disponibilité de cette espèce. De plus, les conséquences socio-économiques des mesures prévues par l’entreprise quant au commerce des espèces sauvages, devraient être soigneusement étudiées car elles semblent avoir des impacts à la fois positifs et négatifs sur les habitants des diverses collectivités villageoises. Ces derniers semblent entretenir de bons contacts avec les habitants des villes, et ils sont tous collectivement motivés en faveur du commerce de gibier et par d’autres besoins sociaux, pour perpétuer cette pratique.
TRANSFORMATION DE BOIS IVOIRIEN (TBI) - CÔTE D’IVOIRE C’est une entreprise privée, située dans la zone industrielle de Daloa et établie dans l’intention d’exploiter la ressource des arbres forestiers, d’effectuer une transformation primaire et de commercialiser les produits. En tant qu’entreprise forestière, TBI a accès à deux sources de matières premières, à savoir une concession dans la forêt naturelle et une plantation forestière établie par l’Etat et dont il est également propriétaire. Conformément à un accord d’exploitation passé entre TBI et l’organisme forestier étatique SODEFOR, l’entreprise récolte les produits d’éclaircies de teck, sous la surveillance de SODEFOR, aux fins de transformation et d’exportation. Les opérations dans la forêt naturelle, qui se déroulent dans deux zones d’exploitation différentes, couvrent une superficie totale de 160.000 ha. En raison des effets de diverses formes d’activités humaines dans la plus grande partie de ces sites, les opérations de l’entreprise dans ce domaine se déroulent selon le principe qu’il s’agit davantage d’entreprendre des coupes de récupération plutôt que d’assurer strictement la gestion des ressources. Vu l’empiétement considérable sur les forêts, à cause de l’établissement des fermes, il est plus judicieux de procéder sur les terres en question à la récupération des arbres. C’est une intervention qui, même si elle ne représente sans doute pas une gestion de la base de ressource, permet néanmoins, plus que n’importe quelle autre, d’atteindre l’objectif économique.
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Sustainable Management of Tropical Forests – Private Sector Experiences CONCLUSIONS ET RECOMMANDATIONS Conclusions •
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Essentiellement, selon la définition de l’aménagement forestier durable, tout le concept précédent des forêts par rapport, notamment, au rôle de la majeure partie du secteur privé, dans la perspective relativement étroite qui semble applicable à la plupart des entreprises, à savoir de faire des bénéfices à tout prix afin de s’acquitter de leurs obligations fiduciaires vis-à-vis des parties prenantes, est devenu plus exigeant et plein de défis. Cependant, dans la région africaine des pays membres producteurs de l’OIBT, quelques entreprises ont véritablement porté leurs pratiques de gestion à des niveaux de qualité acceptables, tandis qu’elles sont beaucoup plus nombreuses, dans l’ensemble de la région, à n’avoir franchi que quelques étapes du processus de l’AFD. Pour le moins, les études de cas, notamment celles qui se rapportent aux entreprises du Gabon, du Ghana, du Congo, et également du Togo, font ressortir des signes évidents d’amélioration des pratiques de gestion. Un exemple frappant de ce progrès exceptionnel en direction de l’AFD est celui du Groupe Rougier du Gabon. En outre, comme l’ont aussi indiqué les résultats de l’enquête Q500, l’entreprise Thanry-CEB, également du Gabon, a déjà fait certifier quelque 615.000 ha de forêt tropicale naturelle. Ainsi, il existe maintenant dans la région deux concessions de forêts tropicales naturelles d’entreprises du secteur privé dont les pratiques de gestion ont été certifiées. Toutefois, pour un nombre appréciable d’entreprises privées, les prescriptions de l’AFD auront en effet paradoxal sur leur capacité de fonctionner et la manière dont elles opèrent, car leurs activités opérationnelles actuelles ne reflètent pas ces prescriptions, ce qui les rend extrêmement réservées lorsqu’il leur est demandé de donner des renseignements sur leurs activités d’AFD. Un important facteur ayant contribué aux avances pragmatiques en direction de l’AFD dans le cas de certaines entreprises privées en Afrique vient du fait qu’elles ont été capables de traduire des engagements en activités et de supporter une majorité ou tous les coûts associés, soit par le biais d’initiatives de soutien au développement de l’extérieur soit par elles-mêmes. Les études de cas du Groupe Rougier, de CIB du Congo et de Samartex au Ghana en sont des exemples. Dans le souci d’affermir et d’améliorer leurs pratiques au niveau de l’unité de gestion forestière, la plupart de ces entreprises semblent avoir eu tendance à élaborer un plan d’aménagement ou à mettre à jour un plan existant fondé sur des inventaires de gestion; à mener des études socio-économiques et autres études complémentaires, afin d’apprécier la dynamique de croissance de ces forêts; et à sélectionner ensuite les paramètres et prescriptions de gestion applicables à la production et aux coupes. Cette tendance de l’exécution se retrouve tant pour les forêts naturelles du Groupe Rougier au Gabon, de Samartex au Ghana et de CIB au Congo, que pour les forêts plantées exploitées par l’ODEF et celles où se déroulent les opérations de TBI en Côte d’Ivoire. D’autres facteurs, y compris l’échelle des opérations en fonction de la taille et de l‘importance de la concession forestière allouée, de même que l’image qu’elle désire avoir sur le marché, semblent avoir une influence non négligeable sur la volonté ou non de l’entreprise de participer aux initiatives d’AFD. Au niveau de la plupart des entreprises, les preuves d’infractions graves aux lois forestières et les lacunes de connaissances liées aux principes de l’AFD ont été en général très rares. Un assez grand nombre d’indices ont mis en lumière un manque total ou apparent de connaissance relative spécifiquement aux Principes, critères et indicateurs harmonisés OAB/OIBT de l’aménagement durable des forêts tropicales naturelles d’Afrique. Dans la plupart des entreprises où tel semblait être le cas, la mise en oeuvre des prescriptions d’aménagement destinées à garantir la durabilité et l’intégrité des concessions forestières laissait beaucoup à désirer. Bien que le niveau d’engagement à l’égard des PFNL ne soit pas très encourageant, une entreprise comme Samartex au Ghana a néanmoins fait quelques progrès en vue de promouvoir commercialement certaines activités dans ce sens. La plupart des activités de R&D constatées dans les entreprises étaient menées à l’initiative de donateurs. Dans un petit nombre de cas, la collaboration entre les entreprises et certains bailleurs de fonds a donné lieu à des projets qui ont contribué à l’élargissement des connaissances sur la gestion des forêts africaines.
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Compte tenu du plus grand rôle que joue le secteur privé aux termes de la définition de l’AFD, l’OAB et l’OIBT devront aider le secteur privé de manières plus pragmatiques, soit par des activités de projet soit en reformulant l’information nécessaire sur les principes de l’AFD pour qu’elle soit aussi facile à utiliser que possible par tous les opérateurs, quels que soient l’échelle et le type d’exploitation des entreprises de cette catégorie de parties prenantes.
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Il est essentiel d’entretenir un dialogue constructif et continu entre le secteur privé de tous les pays producteurs africains membres de l’OIBT et leurs autorités forestières, en tant que base pour développer un meilleur partenariat qui permettra de réaliser ou de progresser vers l’AFD. Vu le caractère délicat des demandes d’information sur l’AFD adressées au secteur privé opérant dans les forêts africaines, toutes les futures études à ce sujet devraient comporter, à l’intention des membres de ce groupe, une composante de sensibilisation et d’instruction en profondeur, par le biais de séminaires ou d’autres mécanismes appropriés. Les coûts étant un élément majeur freinant les initiatives d’AFD en Afrique, le secteur privé devrait s’efforcer de lancer des initiatives de collaboration avec des partenaires au développement dans ce sens et, d’autre part, les gouvernements devraient envisager des incitations pertinentes pour promouvoir collectivement ces principes. De nombreuses entreprises du secteur privé opérant en tant que petites ou moyennes entreprises forestières, sans avoir le moyen d’attirer une partie du capital nécessaire pour exécuter certaines activités d’AFD, les gouvernements pourraient encourager, sous les auspices de l’institut de recherche forestière de l’Etat et en son nom, des mécanismes en vue d’initiatives conjointes, partagées ou collectives conformes aux principes de l’AFD. Promouvoir la certification des forêts comme étant l’un des outils importants pour réaliser l’AFD, et développer également la culture et les structures nécessaires pour recourir à la méthodologie d’audits internes et externes de la gestion et à l’évaluation des concessions forestières, respectivement par les gouvernements et le secteur privé, sont des actions qui pourraient faciliter le renforcement des capacités au niveau local, dans le domaine à la fois des audits et des processus menant à la rationalisation des normes de gestion forestière et de leur utilisation. La différentiation, liée aux prescriptions de l’AFD, qui existe actuellement entre marchés locaux et extérieurs serait ainsi réduite au minimum. Une partie des recettes que les gouvernements tirent des taxes forestières devrait servir à soutenir des initiatives d’AFD dans le secteur privé, y compris la publication des résultats produits par leurs activités de R&D. Le développement d’un mécanisme permettant de mieux parvenir à des consensus, grâce à l’initiative des autorités forestières des pays, pourrait stimuler l’action du secteur privé à l’égard de l’AFD dans la plupart des pays producteurs africains membres de l’OIBT.
RESUMEN ANALÍTICO INTRODUCCIÓN Generalidades La ordenación forestal en la mayoría de los países africanos plantea una serie de desafíos de índole variada y compleja, que parecen estar influenciados por diversos factores sociales, étnicos, culturales y económicos. Esta situación parece exacerbarse por el hecho de que la mayoría de estos bosques están clasificados como recursos estatales o gubernamentales y, por lo tanto, los aspectos relativos a su ordenación sostenible son muy discutidos ya que las funciones y las responsabilidades conexas de las partes interesadas existentes parecen ser más imaginarias que reales. Si bien se cuenta con alguna información sobre las funciones, especialmente de los gobiernos y algunos otros interesados, en las actividades de manejo forestal, la contribución del sector privado en particular con respecto a este tema en general suele generalizarse. Ello da lugar a dudas sobre la voluntad y la capacidad del sector privado para facilitar y participar, desde un punto de vista técnico y económico, en el manejo de los bosques tropicales, además de otros intereses.
Objetivos Los objetivos de este estudio de la región africana es ofrecer información sobre la contribución del sector privado a la ordenación de los bosques en el camino hacia el logro de metas comerciales y económicas tanto colectivas como individuales. El propósito es facilitar el acceso y uso de esta información y de experiencias exitosas en materia de ordenación forestal como una contribución al logro del Objetivo 2000 de la OIMT.
Metodología El estudio, que comprendió los nueve (9) países miembros productores de la OIMT en la región de África, se realizó en dos fases. Principalmente, generó información sobre la base de un primer grupo de cuestionarios (Q500 ó SQ1) dirigidos a varias empresas forestales de todos los países, los cuales se analizaron conforme a una serie de criterios estipulados para identificar las experiencias exitosas.
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Sustainable Management of Tropical Forests – Private Sector Experiences La segunda fase comprendió la preparación de estudios de casos sobre las diferentes experiencias identificadas en base a visitas de las áreas, entrevistas y el estudio de documentación relacionada con las distintas experiencias, de acuerdo con un segundo grupo de cuestionarios denominados “SQ2”. A fin de facilitar el proceso en la región africana, los países miembros productores de la OIMT se agruparon en dos sub-regiones diferentes: la subregión de África Central y la subregión de África Occidental. El grupo de África Central incluyó: Camerún, la República Centroafricana, Congo, la República Democrática del Congo y Gabón. La subregión de África Occidental incluyó: Côte d’Ivoire, Ghana, Liberia y Togo.
Conceptos de la ordenación forestal sostenible (OFS) Si bien el concepto de la ordenación sostenible aplicada a los bosques se reconoce como extremadamente amplio y, por ende, ha sido definido de diversas formas por varias autoridades, en el contexto de este estudio se adoptó la definición de la Organización Internacional de las Maderas Tropicales para la ordenación sostenible de los bosques tropicales: “el proceso de manejar los bosques para lograr uno o más objetivos de ordenación claramente definidos con respecto a la producción de un flujo continuo de productos y servicios forestales deseados, sin reducir indebidamente sus valores inherentes ni su productividad futura y sin causar indebidamente ningún efecto indeseable en el entorno físico y social”. Los conceptos de la OFS han dado lugar a una serie de iniciativas orientadas al desarrollo de principios, criterios e indicadores para la ordenación de los bosques, y los desarrollados por la OIMT han sido pioneros en este contexto. Sin embargo, en el plano regional, la Organización Africana de la Madera (OAM), en colaboración con el CIFOR, elaboró también un conjunto regional de PC&I para la ordenación de los bosques tropicales naturales de África. Estas dos iniciativas independientes posteriormente se compatibilizaron en relación con la ordenación de los bosques africanos, con el fin de facilitar el cumplimiento de los objetivos de ordenación forestal. En general, en los países incluidos en el estudio, estos principios, criterios e indicadores parecen generar un enorme interés sobre los aspectos y actividades relativos a la certificación forestal.
El sector privado en la actividad forestal Según las distintas clasificaciones ofrecidas por diferentes autoridades, existen diferencias importantes en la extensión, especialización y dependencia y, por ende, los niveles de interés, conocimientos, motivación y disposición del grupo más amplio de interesados del sector privado con respecto a las prácticas de manejo forestal. Por lo tanto, existen en el sector diversas categorías de empresas y organizaciones, algunas de las cuales muestran una mayor preferencia por las actividades de extracción a escala comercial, mientras que otras se abocan a las funciones más amplias reflejadas en la definición de OFS, que incluyen las siguientes: • minimizar el impacto ambiental; • neutralizar los impactos de las operaciones invirtiendo en actividades de conservación en otras partes de la concesión; • compartir los beneficios económicos de la extracción maderera de forma más equitativa; • respetar los derechos de las comunidades locales y obreros y fomentar una definición más clara de los derechos sobre la tierra y los derechos de usufructo; • ir más allá de la producción maderera para incluir los recursos forestales no maderables; • minimizar las necesidades de producción de recursos; • asegurar la transparencia de las operaciones; • contribuir al desarrollo de conocimientos científicos. Si bien el compromiso existente en la región con la aplicación y demostración de prácticas de OFS parece ser limitado, ya que éstas dependen en gran medida de la voluntad expresa de los gobiernos, algunas empresas, bajo la égida de la Asociación Africana de Industrias Forestales (IFIA), crearon una fundación europea de preservación de recursos forestales africanos, compuesta por 17 miembros con unos 20 millones de hectáreas de bosque bajo su cuidado y decidieron integrar los valores mencionados en sus operaciones, lo cual fue confirmado en su declaración de septiembre de 1999 en Milán.
La situación forestal regional Existe una variación considerable en los recursos forestales de los nueve países miembros productores de la OIMT en África con respecto a la diversidad de especies y a la extensión y cobertura del recurso.
Sustainable Management of Tropical Forests – Private Sector Experiences
En lo que respecta a los bosques naturales, algunos países, tales como Côte d’Ivoire y Ghana, ya no tienen muchos bosques sin explotar, mientras que otros como Congo, la República Centroafricana y Gabón aún cuentan con extensas zonas boscosas no intervenidas, que parecen plantear serios desafíos para su manejo. Los cinco países miembros productores de la OIMT en la subregión de África Central poseen alrededor del 35 por ciento del total de bosques de África y tienen además un área de bosque per cápita superior al promedio. En comparación, los otros cuatro países miembros productores de la OIMT de la subregión de África Occidental poseen menos del 3 por ciento del total de bosques africanos y un área boscosa per cápita inferior al promedio. Las tasas de deforestación, la degradación de bosques y el agotamiento de los recursos forestales en la subregión de África Occidental son mayores que los registrados en los países de África Central. Ello se ha atribuido a los cultivos migratorios y a las actividades de extracción y conversión de bosques para la agricultura. Debido a la limitada disponibilidad de fondos, la mayoría de las iniciativas relacionadas con plantaciones forestales se promovieron como actividades de investigación científica. Sin embargo, en algunos países, la mayoría de las actividades forestales dependen totalmente de los bosques plantados, como en el caso de Togo, o parcialmente, como en Côte d’Ivoire y Ghana. En relación con el manejo de los bosques, la extracción y producción industrial colectiva de madera en troza quizás represente la principal intervención y normalmente es iniciada por las empresas privadas de la región. Sin embargo, típicamente la evaluación de la contribución de esta actividad a las economías de los países en cuestión, tanto en términos de volumen como de valor, siempre se ha visto obstaculizada por las actividades de extracción ilegales documentadas y no documentadas. Con la excepción de los recursos logísticos y equipos, que están recibiendo cada vez más inversiones tanto del sector público como del sector privado para mejorar las prácticas de ordenación y manejo forestal, han sido solamente las empresas privadas las que han realizado importantes inversiones en todo tipo de caminos en las zonas boscosas de la región. La mayoría de los países han revisado sus políticas y marcos jurídicos para mejorar la contribución de todos los interesados del ámbito forestal. Por otro lado, su eficacia o ineficacia no se puede evaluar aisladamente ya que se relacionan con otras políticas y legislaciones de otros sectores más amplios.
El rol o lugar del sector privado en las inversiones para el desarrollo forestal sostenible En términos reales, sin la disponibilidad de los recursos requeridos para anticipar y evaluar la factibilidad económica de las funciones más amplias reflejadas en la definición de OFS en relación con los bosques tropicales de África, las empresas han tendido a ser selectivas en su elección de las intervenciones de manejo. Al no contarse con normas detalladas a las cuales referirse como un patrón de práctica estándar, las empresas han tenido que racionalizar sus actividades de manejo por iniciativa propia. Como resultado de ello, la calidad de la producción tiende a estar limitada en gran medida por el costo y las inversiones requeridas. Para la mayoría de las empresas del sector privado, la tendencia a aplicar sin ningún rigor la legislación forestal en la mayoría de los países de la región no incentiva las inversiones en la ejecución de la extensa gama de medidas técnicas y un sofisticado sistema de manejo forestal. En otros casos, cuanto mayor es el área de la concesión forestal y la combinación de especies de interés económico que contiene, mayor es el incentivo para invertir en un sistema más duradero de manejo forestal. Algunas empresas que tuvieron la capacidad para mejorar su imagen en el mercado, su participación en el mercado y su compromiso con las prácticas sostenibles lograron la certificación de su manejo forestal, mientras que otras están también realizando esfuerzos para conseguirla. En julio de 2003, había dos empresas en Gabón cuyas concesiones de bosque natural habían sido certificadas a través del sistema de la Fundación Keurhout.
RESULTADOS DEL PROYECTO Los cuestionarios de la encuesta generaron respuestas de las empresas de siete (7) países en la primera etapa y posteriormente, durante la segunda etapa, se realizaron cinco (5) estudios de casos de las empresas seleccionadas de cada país. La primera etapa del estudio, que se basó en la encuesta Q500, recibió las respuestas de empresas privadas de los siguientes cuatro (4) países miembros de la subregión de África Central: Camerún, República Centroafricana, Congo y Gabón, así como los siguientes tres (3) países de África Central: Côte d’Ivoire, Ghana y Togo. Siguiendo un análisis y los criterios de selección establecidos por el proyecto, se realizó un estudio detallado conforme al formato del cuestionario QS2 para preparar los casos de las empresas durante la segunda fase del proyecto en base a visitas directas a las empresas o a sus áreas de concesión.
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Sustainable Management of Tropical Forests – Private Sector Experiences Cuadro A. Se muestran las respuestas y resultados de las encuestas Q500 y QS2 Participación de Índice de empresas en la respuestas encuesta QS2
País
Respuestas a la encuesta Q500
SUBREGIÓN DE ÁFRICA CENTRAL Camerún República Centroafricana Rep. Dem. del Congo Rep. del Congo Gabón
4 de 50 cuestionarios distribuidos 3 de 30 cuestionarios distribuidos Ninguna respuesta de los 30 cuestionarios distribuidos 7 de 25 cuestionarios distribuidos 5 de 30 cuestionarios distribuidos
8% 10% Nulo 28% 16%
Ninguna respuesta Ninguna respuesta Sin respuesta
SUBREGIÓN DE ÁFRICA OCCIDENTAL Cote d’Ivoire Ghana Liberia Togo
5 de 65 cuestionarios distribuidos 30 de 110 cuestionarios distribuidos Ninguna respuesta de los 25 cuestionarios distribuidos 1 de 1 cuestionario distribuido
7% 27% Nulo 100%
Sí Sí Sin respuesta Sí
TOTAL
55 del total de 366
15%
5 de las 7 seleccionadas
En la encuesta Q500 básicamente se recibieron un total de 55 respuestas de empresas de los siete países que respondieron. Esto representó un 15 por ciento de respuestas del total de cuestionarios distribuidos en la región africana. El mayor número de respuestas se recibió de Ghana (30 empresas) en la subregión de África Occidental, mientras que el índice de respuestas más alto de la subregión de África Central se registró en Congo (7 empresas). Este bajo índice de respuestas probablemente se haya debido a diversos factores, inclusive una falta de acción inmediata por parte de los encuestados, reticencia a participar en la encuesta, e indiferencia causada por los constantes pedidos de información de diversas organizaciones.
PRIMERA ETAPA DE LA ENCUESTA – Q500 A continuación se presenta un análisis de las respuestas recibidas al cuestionario de la encuesta Q500, clasificadas en diversas categorías: •
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Características corporativas de las empresas encuestadas Las diecinueve (19) empresas encuestadas de los cuatro (4) países de la subregión de África Central (Camerún, República Centroafricana, Congo y Gabón) eran entidades corporativas de propiedad privada. En el total de 36 empresas encuestadas en los tres países de la subregión de África Occidental (Côte d’Ivoire, Ghana y Togo) se observaron dos tipos de estructura de propiedad. Si bien todas las empresas encuestadas en Côte d’Ivoire eran de propiedad privada, en Ghana el 90 por ciento de las empresas eran también privadas pero el resto era de propiedad estatal. La única empresa autorizada legalmente a manejar bosques y comerciar productos y recursos forestales en Togo también es de propiedad pública. En la región de África en conjunto, el 94 por ciento de las empresas encuestadas eran del sector privado, mientras que el restante 6 por ciento eran del sector público. Inestabilidad de la tenencia de tierras En las zonas de concesión de las empresas se están aplicando cada vez más algunos conceptos basados en la silvicultura comunitaria, la creación de áreas de conservación, etc., pero la impresión general es que la situación relativa a la tenencia de los bosques aún no es estable. Propiedad de la base de recursos forestales La base de recursos forestales de casi todas las empresas encuestadas en la subregión de África Central eran de propiedad estatal, con algunos bosques comunales recientemente creados y reconocidos, especialmente en Camerún y en Gabón. Las concesiones forestales de las empresas de Côte d’Ivoire y Togo también son de propiedad gubernamental o estatal. Las concesiones de Ghana están clasificadas como bosques en tierras de propiedad ancestral, que por ley se hallan bajo el control del gobierno, y por lo tanto, el Estado sólo las mantiene bajo su tutela para los propietarios indígenas.
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Tipos de concesiones forestales Todas las concesiones forestales de los encuestados de la subregión de África Central comprenden un área de bosque natural, mientras que el 94 por ciento de las empresas participantes de la subregión de África Occidental dependen también de una base de bosque natural. Sin embargo, alrededor del 19 por ciento de los encuestados de África Occidental dependen también total o parcialmente de concesiones en plantaciones forestales. Extensión de las concesiones forestales En general, las superficies de las concesiones de bosque natural de los países de la subregión de África Central son mayores que las de la subregión de África Occidental, con un promedio de más de 350.000 ha por empresa. Debido a la escasa información recibida, no fue posible calcular el tamaño promedio de las concesiones de las empresas encuestadas en la subregión de África Occidental, aunque son de un tamaño relativamente más pequeño. Práctica de cultivos migratorios Un 68 por ciento de los encuestados en la subregión de África Central, comparado con un 75 por ciento de la subregión de África Occidental, indicaron que las comunidades locales residentes en sus áreas de concesión y zonas aledañas practican cultivos migratorios. En general, la situación de la tenencia de los recursos forestales parece estar en transición, para pasar del control de áreas forestales por parte de organismos centralizados al otorgamiento de derechos de tenencia individuales o colectivos para las empresas y las comunidades locales, con el fin de mejorar la seguridad de la tenencia, entre otras cosas.
Integración de actividades y valor agregado Todas las 19 empresas encuestadas en la subregión de África Central salvo una se dedican a alguna actividad de transformación maderera. Todas las 36 empresas encuestadas en la subregión de África Occidental tienen algún tipo de actividad de elaboración de valor agregado. El aserrío es la actividad de integración bosque-industria predominante, seguida por una combinación de actividades de transformación, que incluyen la fabricación de chapas, molduras y componentes de muebles, que a su vez son seguidas muy de cerca por la fabricación de contrachapados. En la subregión de África Central, el 68 por ciento de los encuestados tienen sus recursos forestales integrados con las actividades de aserrío, el 11 por ciento con plantas de fabricación de contrachapados y el 16 por ciento con la fabricación de chapas de madera y otras actividades de elaboración de productos de valor agregado. En la subregión de África Occidental, el 89 por ciento de las empresas encuestadas integran sus recursos forestales con las actividades de aserrío, el 25 por ciento con fábricas de contrachapados y el 36 por ciento con plantas manufactureras de chapas, molduras y otros productos de valor agregado. •
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Producción de madera en rollo En términos relativos, las empresas encuestadas en la subregión de África Central son productoras de mayores volúmenes de madera en rollo industrial de sus bosques naturales que sus contrapartes de la subregión de África Occidental. Las empresas encuestadas en la subregión de África Occidental, principalmente las situadas en Côte d’Ivoire, Togo y, en menor medida, Ghana, producen un cierto volumen de madera en rollo industrial de plantaciones forestales. Alrededor del 70 por ciento de este volumen se produce en los bosques de Côte d’Ivoire. Producción de madera aserrada y otras manufacturas En comparación, hay mucha más actividad de transformación primaria y secundaria en las empresas encuestadas en la subregión de África Occidental que en la subregión de África Central. Desarrollo de recursos humanos Las actividades de las empresas encuestadas en relación con el desarrollo de recursos humanos tienen efectos tanto directos como indirectos en los empleados y en la comunidad respectivamente. Categorías de profesionales y obreros y su capacitación En la subregión de África Central, de los 8.726 empleados registrados en las 19 empresas encuestadas, algo menos del 4 por ciento eran profesionales, el 37 por ciento eran obreros calificados y el 52 por ciento eran obreros no calificados. En la subregión de África Occidental, del total de algo más de 17.000 empleados registrados como personal de las 36 empresas encuestadas, el 8 por ciento eran profesionales, el 30 por ciento eran obreros calificados y el 60 por ciento eran obreros no calificados. En el ámbito regional, se observó una tendencia en la mayoría de las empresas encuestadas a emplear menos personal profesional y más obreros no calificados.
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En general, las empresas de ambas subregiones prefieren ofrecer principalmente un tipo de capacitación directa en el trabajo para sus empleados, intercalada con algunos cursos cortos o seminarios organizados in situ o en el extranjero. Infraestructura de bienestar social En el plano regional, la mayoría de las empresas encuestadas han provisto distintas formas de infraestructura de bienestar social para sus empleados, siendo las tres prioridades máximas los servicios de salud, escuela y vivienda, además de otros en la mayoría de los casos. Empleo de miembros de la comunidad local en las empresas encuestadas Casi un 63 por ciento de las empresas encuestadas en la subregión de África Central ofrece algún tipo de empleo a los miembros de las comunidades locales residentes en sus áreas de concesión o actividad y zonas aledañas, mientras que el 26 por ciento indicaron que no ofrecían este tipo de facilidad. Por otro lado, el 78 por ciento de las empresas encuestadas en África Occidental indicaron que no ofrecían empleo a los miembros de las comunidades locales y sólo un 19 por ciento manifestó ofrecer ese tipo de servicio. A nivel regional, un 33 por ciento de las empresas encuestadas ofrecen algún tipo de empleo a los miembros de la comunidad local, mientras que el 61 por ciento no ha empleado jamás a pobladores locales. Número de accidentes y tasas de mortalidad En general, las muertes por accidentes y tasas de mortalidad parecen seguir una tendencia similar en ambas subregiones, pese a la ligereza con que los encuestados trataron este tema, lo que también refleja el historial general de salud y seguridad de las empresas. En la mayoría de los casos, el número de muertes de ese tipo parecía oscilar entre una y dos por mes.
Falta de atención a los productos forestales no maderables (PFNM) En general, debido a sus características, tales como una extensa variedad y una abundancia y distribución natural limitadas, que hacen que su producción sea irregular, la mayoría de los PFNM presentan obstáculos para su extracción, ya que además exigen largos tiempos de transporte y altos costos. Otros factores, como un bajo valor potencial así como un alto riesgo de recolección comparado con las especies maderables, parecen hacer que estos productos resulten menos interesantes desde el punto de vista económico para la mayoría de las empresas extractoras de escala comercial. Ello quizás explique por qué la mayor parte de las 55 empresas encuestadas en ambas subregiones indicaron tener un interés limitado o nulo en la producción de PFNMs.
Diferentes niveles de control y tratamiento silvícola Algunas de las actividades esenciales que contribuyen a la aplicación de prácticas racionales de manejo forestal incluyen las siguientes: •
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Prácticas forestales sostenibles En la subregión de África Central, el 79 por ciento de las empresas encuestadas indicaron que practicaban la silvicultura sostenible, una práctica que en la mayoría de los casos se inició entre 1995 y 2002. Todas las empresas de la subregión de África Occidental indicaron también que practicaban la silvicultura sostenible, que en este caso se introdujo de 1980 a 1998. Planes de manejo y período de planificación El 69 por ciento de las empresas encuestadas en la subregión de África Central afirmaron tener planes de manejo, mientras que el porcentaje de empresas con tales planes en la subregión de África Occidental fue del 89 por ciento. En la región en general, el horizonte temporal abarcado por los planes de manejo de las empresas encuestadas era de 1 a 30 años. Compatibilidad de los planes de manejo con las directrices de la OIMT El 42 por ciento de las empresas de la subregión de África Central afirmaron que sus planes de manejo eran compatibles con las directrices de la OIMT, mientras que en la subregión de África Occidental el 86 por ciento indicó tener tal compatibilidad. Amplios sistemas de manejo En general, se observó un predominio de un solo tipo de amplios sistemas de manejo en la subregión de África Central y una combinación de dos o más tipos de sistemas en las concesiones forestales de África Occidental. Posibilidad de corta anual La prescripción de la posibilidad de corta anual parece ser una herramienta común de manejo empleada por las autoridades forestales en la mayoría de los países participantes en este estudio. Sin embargo, el grado en que las empresas cumplen estrictamente con este nivel de corta y las fuentes de datos utilizadas para fijarlo parecen variar ampliamente de un país a otro.
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Planes y sistemas de extracción utilizados La mayoría de las empresas encuestadas en ambas subregiones preparan planes de extracción. En general, las empresas de ambas subregiones prefieren el uso de tractores de arrastre y métodos de extracción con cable, ya sea como sistemas separados o utilizados en combinación. Inventario previo a la extracción Un 89 por ciento de las empresas encuestadas en África Central y el 94 por ciento de las empresas de África Occidental afirmaron que incorporaban este tipo de actividad en sus operaciones. Planificación de caminos Aproximadamente el 79 por ciento de las empresas encuestadas en la subregión de África Central y el 83 por ciento de las de África Occidental indicaron llevar a cabo actividades de planificación de caminos. Medidas para zonas amortiguadoras a lo largo de cauces Un 42 por ciento de las empresas de la subregión de África Central y un 61 por ciento de las de África Occidental incorporan medidas en sus operaciones para establecer zonas amortiguadoras a lo largo de cauces. Tala dirigida Un 42 por ciento de las empresas de la subregión de África Central y el 69 por ciento de los encuestados en África Occidental afirmaron utilizar esta técnica mejorada de extracción maderera. Estudios de la regeneración forestal posteriores a la extracción Alrededor del 42 por ciento de las empresas encuestadas en la subregión de África Central y el 86 por ciento de las empresas de África Occidental dijeron llevar a cabo levantamientos de la regeneración forestal después de sus operaciones de extracción. Sistemas de regeneración forestal La mayoría de las empresas de la encuesta (65%) en las dos subregiones indicaron que dependían de la regeneración natural como el principal sistema de reposición de los bosques intervenidos. Por otro lado, las prácticas de plantaciones de enriquecimiento y actividades de reforestación para el establecimiento de plantaciones son más frecuentes en la subregión de África Occidental que en África Central. Otros tratamientos silvícolas Muy pocas empresas en las dos subregiones lleva a cabo otros tipos de tratamientos silvícolas, que en general incluyen corte de trepadoras, limpiezas, anillamiento de árboles, etc.
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Actividades de I & D Si bien un 47 por ciento de las empresas de la subregión de África Central indicaron que llevaban a cabo actividades de investigación y desarrollo, el 26 por ciento respondió que no se dedicaba a este tipo de actividades. En la subregión de África Occidental, un 81 por ciento de las empresas indicó que llevaban a cabo actividades de I & D, mientras que un 17 por ciento respondió que no realizaban ninguna actividad de este tipo. Proyectos ejecutados en las concesiones con financiación externa Un 52 por ciento de las empresas de África Central tienen proyectos en sus concesiones financiados por fuentes externas. En la subregión de África Occidental, sólo el 11 por ciento confirmó la existencia de proyectos con financiación externa en sus concesiones forestales.
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Niveles mínimos aceptables en relación con C&I Si bien algunas de las empresas de la región conocen los criterios e indicadores basados en las iniciativas de la OIMT y la OAM, así como los elaborados a nivel nacional por algunos países, la mayoría de los encuestados mostraron una indiferencia total con respecto a este punto. En general se prefirió hacer referencia a algún código nacional o local de práctica forestal. Concesiones forestales certificadas Sólo una empresa, Thanry-CEB de Gabón, que representaba el 5 por ciento de los encuestados en la subregión de África Central, indicó tener su concesión de bosque tropical natural certificada. Sin embargo, este número aumentó a dos durante el transcurso del estudio (julio de 2003). Ninguna de las empresas encuestadas en la subregión de África Occidental tenía una concesión forestal certificada al momento de realizarse el estudio. Empresas en vías de obtener la certificación forestal Un 63 por ciento de las empresas encuestadas en la subregión de África Central manifestaron su intención de iniciar el proceso de certificación forestal en el período comprendido entre 2002 y 2006. En la subregión de África
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Sustainable Management of Tropical Forests – Private Sector Experiences Occidental, sólo el 25 por ciento de los encuestados indicaron que emprenderían este proceso en el año 2003. Por lo tanto, el 38 por ciento de las empresas encuestadas en toda la región de África manifestaron su voluntad de iniciar prontamente el proceso de certificación forestal.
Sustentabilidad socioeconómica vs. sustentabilidad ambiental En la mayoría de los casos, el problema fundamental con respecto al concepto de la sustentabilidad de los recursos forestales es determinar cómo los interesados pueden lograr un equilibrio entre la utilización de estos recursos y su conservación alcanzando un nivel neto más alto de desarrollo. •
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Servicios ofrecidos por las concesiones forestales La mayoría de las concesiones en los bosques de producción de las empresas de la región ofrecen también otros servicios tales como actividades de conservación y refugio y protección de fauna silvestre, además de actividades de educación. Comunidades locales residentes en las concesiones forestales y zonas aledañas Alrededor del 96 por ciento de las empresas encuestadas en la región indicaron la presencia de comunidades locales en las proximidades de sus concesiones forestales. Permiso otorgado a las comunidades locales para cazar, pescar o recolectar alimentos para su propio consumo Un 84 por ciento de las empresas encuestadas en la subregión de África Central permiten estas actividades. En la subregión de África Occidental, sólo un 56 por ciento de las empresas parecen permitir este tipo de actividades en sus concesiones. Áreas de conservación de la diversidad biológica El 74 por ciento de las empresas encuestadas en la subregión de África Central y el 83 por ciento de las de África Occidental indicaron la presencia de áreas de conservación de biodiversidad en sus concesiones. Especies amenazadas en las concesiones La mayoría de las empresas encuestadas confirmaron la presencia o ausencia de especies amenazadas en sus concesiones forestales. Procesos judiciales por violación de leyes forestales (1999-2000) En la subregión de África Central, el 84 por ciento de las empresas encuestadas indicaron no haber tenido procesos judiciales en su contra y sólo el 5 por ciento mencionaron que habían tenido procesos de este tipo en 1999. La situación para el año 2000 fue bastante similar, pero con una leve reducción en los números: el 78 por ciento indicó no haber tenido procesos judiciales, mientras que el 5 por ciento señaló haberlos tenido.
En la subregión de África Occidental, el 86 por ciento de los encuestados indicó no haber tenido procesos judiciales por violación de la legislación forestal, mientras que el 8 por ciento indicó haberlos tenido en 1999. Para el año 2000, un 92 por ciento de las empresas indicó no haber tenido este tipo de procesos y sólo el 3 por ciento indicó haberlos registrado.
SEGUNDA PARTE DEL ESTUDIO: QS2 – ANÁLISIS DE CASOS Una vez finalizada la etapa de la encuesta Q500, se seleccionaron un total de siete empresas para representar a cada uno de los países participantes en la encuesta QS2, que comprendió la preparación de estudios de casos sobre las actividades de manejo forestal de las empresas. Dos de las siete empresas seleccionadas se negaron a participar, quedando las cinco empresas que se mencionan a continuación: • • • • •
Congolaise Industrielle des Bois de Congo; Samartex Timber & Plywood Ltd. de Ghana; Groupe Rougier de Gabón; Office de Developpement et d’Exploitation des Fôrets de Togo; y Transformation des Bois Ivoirien de Côte d’Ivoire.
Los cinco estudios describen la situación de las empresas y sus actividades de manejo en relación con la magnitud y la disponibilidad de recursos, las prácticas de manejo utilizadas y el progreso alcanzado con respecto a la aplicación de los principios de la ordenación forestal sostenible. Tres de las empresas estudiadas, situadas en Congo, Ghana y Gabón, se destacan por el estilo de su manejo y la aplicación de normas en la ordenación de bosques tropicales naturales. Las otras dos, que son de pequeña a mediana escala, muestran calidad en el manejo de los bosques plantados, especialmente la empresa de Togo, y una
Sustainable Management of Tropical Forests – Private Sector Experiences combinación de aprovechamiento de bosque natural y plantación forestal bajo la dirección de una organización estatal como es el caso de la empresa de Côte d’Ivoire. Los cinco casos sirven para destacar algunos de los logros alcanzados por las distintas empresas en sus actividades de ordenación y manejo forestal sostenible, así como las limitaciones y propósitos en el cumplimiento de la OFS. Asimismo, el estudio permitió comparar y contrastar los objetivos de manejo desde el punto de vista de una empresa multinacional de gran escala por un lado y, por el otro, operaciones patrocinadas por el Estado y operaciones financiadas por inversiones a nivel local.
Breve caracterización de los casos estudiados CONGOLAISE INDUSTRIELLE DES BOIS (CIB) – CONGO Esta empresa, situada en el norte de Congo, es un establecimiento multinacional de gran escala y forma parte del grupo internacional Hinrich FELDMEYER-tt Timber International. Las concesiones forestales de la empresa comprenden un total de 1,3 millones de hectáreas situadas en cuatro áreas de explotación diferentes. La vegetación y el tipo de bosque de las concesiones es principalmente bosque perennifolio húmedo y denso con diferentes formaciones en el dosel forestal. Dos de las concesiones forestales de la empresa son linderas con el Parque Nacional Nouabale-Ndoli y, por consiguiente, la empresa ha establecido varios protocolos de conservación de la fauna silvestre en colaboración con el gobierno y otras partes interesadas. Todas las operaciones de aprovechamiento forestal se basan en un tipo de tala selectiva, cuya eficacia se basa en gran medida en las experiencias adquiridas y las observaciones realizadas durante varios años de actividad. La mayoría de los árboles aprovechados superan con creces el diámetro de corta mínimo estipulado. La empresa cuenta con una brigada de inventarios forestales para facilitar la recopilación de datos, además de otros equipos que llevan a cabo estudios socioeconómicos, etc., especialmente con el propósito de elaborar los planes de manejo forestal. La extracción de madera está correctamente coordinada mediante el uso de equipos y métodos modernos de planificación para la zonificación del bosque previo a la tala, la planificación de caminos y la aplicación de técnicas de extracción de impacto reducido. Asimismo, se cuenta con dispositivos mecánicos de extracción para asegurar la ejecución eficaz de las operaciones programadas. Un aspecto esencial de las operaciones posteriores a la extracción es la elaboración de un programa de utilización y recuperación de los residuos de extracción, con el cual se garantiza la limpieza de gran parte de los desechos en el bosque intervenido a fin de facilitar su regeneración natural y evitar la presencia de incendios forestales. La brigada de extractores de la empresa recibe capacitación sobre técnicas de extracción de impacto reducido, y su avance con respecto a la productividad y minimización de impactos ambientales se controla permanentemente. La empresa y una organización paraestatal creada recientemente para actividades de reforestación y agroforestales estudian conjuntamente la mayoría de las actividades relacionadas con la regeneración posterior a la tala. Un equipo de construcción y mantenimiento de trochas correctamente equipado administra los caminos de extracción, así como las carreteras necesarias para el transporte de larga distancia de los productos de la empresa a los puertos. Asimismo, se cuenta con una importante red de sistemas de transporte que incluye transporte fluvial y todos los equipos necesarios para facilitarlo. Todas las actividades de transformación de la empresa están correctamente respaldadas por un mercado de exportación bien desarrollado, ya que el mercado nacional, en comparación, es muy limitado. En colaboración con la OIMT y la Fundación Keurhout, la empresa parece haber adquirido importantes conocimientos sobre los criterios e indicadores y su aplicación en la ordenación y el manejo de bosques luego de un taller patrocinado por la OIMT en el lugar. Con respecto al desarrollo de recursos humanos, CIB cuenta con una escuela técnica para su fuerza obrera de más de 1665 empleados y ofrece además una amplia gama de servicios de asistencia social que se facilitan de forma gratuita a los obreros. Las inversiones de la empresa en los procesos de transformación parecen estar aumentando cada vez más, según se refleja en el crecimiento de alrededor del 50 por ciento de su capacidad obrera entre 1998 y 2002. Con respecto a sus contribuciones socioeconómicas, el nivel actual de inversiones de capital para obras públicas de CIB es del orden de los 2,070,000,000 FCFA. Estas inversiones se canalizan para ofrecer servicios a alrededor de 13.000 personas de las comunidades creadas como resultado de las operaciones comerciales de la empresa. Además, CIB mantiene un hospital e infraestructura para deportes y otras actividades económicas. Su red vial y su programa de mantenimiento se extiende hasta la frontera con Camerún para respaldar diversas actividades sociales y económicas.
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Sustainable Management of Tropical Forests – Private Sector Experiences La empresa administra además un programa de medios alternativos de sustento correctamente coordinado con el fin de reorientar la atención de las poblaciones locales alejándolas de las actividades de degradación forestal, cultivos migratorios o la caza de fauna silvestre. En colaboración con una organización no gubernamental ambientalista y el Ministerio de Bosques, se ha creado una alianza para manejar un parque nacional y a través de un proyecto patrocinado por la OIMT, estas organizaciones han logrado establecer un sistema de “guardas ecológicos” que comprende la capacitación de guardas encargados de patrullar los caminos forestales para controlar a los cazadores ilegales. Esta alianza incluye también otros componentes para facilitar el proceso de ordenación forestal, por ejemplo, actividades de educación, concientización e investigación. Por otro lado, pese a la imagen proyectada por la empresa, una cierta ONG ambientalista internacional ha militado en contra de sus esfuerzos por obtener la certificación de sus operaciones de manejo forestal. En la actualidad, la empresa está trabajando arduamente para rectificar esta situación. La localización de la concesión, a unos 1300 km de distancia de los mercados, implica una enorme exigencia para los recursos de la empresa en lo que respecta al tiempo, mantenimiento de caminos y la garantía de seguridad para los productos transportados al mercado de exportación. Debido a las fluctuaciones estacionales del nivel del río, la empresa sólo puede hacer uso del transporte fluvial durante algunos meses del año. El desarrollo de nuevas relaciones con algunos grupos indígenas y comunidades forestales, en ciertos casos, ha sido un lento proceso que ha necesitado mucha dedicación.
SAMARTEX TIMBER & PLYWOOD LTD. – GHANA Ésta es una empresa privada de gran escala que heredó una larga tradición de producción sostenible de madera de su dueño anterior, una operación forestal correctamente administrada. El equipo actual a cargo de la empresa forma parte de un grupo alemán. Sus operaciones constituyen una de las mayores empresas de Ghana. La empresa, que cuenta con un departamento forestal muy bien equipado en cuanto a herramientas y expertos, lleva a cabo actividades de planificación y desarrollo de manejo forestal y, de ese modo, complementa las obligaciones del Estado estipuladas por ley en este contexto. Los planes de manejo forestal de la empresa, que opera a partir de concesiones forestales de alrededor de 145.000 ha, se basan en un ciclo de corta de cuarenta años, con un aprovechamiento sostenible de cada área de corta durante un período de cinco años. El sistema de manejo silvícola de las concesiones forestales se basa en el concepto de tala selectiva con una posibilidad de corta anual prefijada por la autoridad forestal. Todas las operaciones de extracción se realizan conforme a las normas estipuladas en el Manual de Prácticas de Ordenación Forestal de Ghana, que entre otras cosas exige un intensivo proceso previo al aprovechamiento, durante las operaciones de extracción y posterior al aprovechamiento. Con respecto al uso y cumplimiento de niveles mínimos basados en criterios e indicadores de OFS, la empresa parece cumplir estrictamente con la mayoría de las normas de manejo detalladas en los reglamentos forestales de Ghana. Asimismo, está realizando esfuerzos para obtener la certificación de su manejo forestal, posiblemente bajo el sistema del FSC. Samartex dispone de equipos y maquinaria de extracción y garantiza la aplicación de técnicas de impacto reducido. En promedio, la empresa produce 10.000 m3 de madera en troza por mes. La mayor parte de los residuos de la extracción maderera son clasificados y la clase inferior se utiliza para generar electricidad para consumo industrial y doméstico. Gracias a la diversidad de plantas de transformación primaria y secundaria que posee la empresa, inclusive plantas de virutas, chapas rebanadas y desenrolladas, madera aserrada, contrachapados, molduras y un centro de tallado de madera, casi toda la madera en rollo extraída se clasifica para aplicarla en el uso final más adecuado. En lo relativo al desarrollo de recursos humanos, la empresa ha asumido un firme compromiso con el aumento de capacidad tanto de su personal como de los miembros de la comunidad local. Ha establecido un programa de capacitación de aprendices correctamente coordinado con participantes seleccionados para su propia escuela técnica o colocados externamente para su formación. El personal de la empresa, que comprende un total de 2350 empleados, reciben servicios sociales tales como suministro gratuito de electricidad, agua, atención médica, alojamiento y escuela para los hijos de los obreros. A fin de satisfacer las necesidades socioeconómicas de las comunidades rurales que viven en las proximidades de los establecimientos de la empresa, ésta ha priorizado la provisión de educación, atención médica y el mantenimiento de la red vial en la zona como contribución al desarrollo nacional además de sus obligaciones tributarias. A través de un programa de medios alternativos de sustento, ejecutado conjuntamente con las comunidades locales, la empresa ha diversificado sus actividades en el campo agroforestal para desalentar principalmente la propagación de los cultivos migratorios. Asimismo, está produciendo PFNMs en colaboración con una firma alemana, que actualmente está realizando actividades de I&D para desarrollar un edulcorante de bebidas sin contenido de azúcar a partir de especies arbóreas forestales.
Sustainable Management of Tropical Forests – Private Sector Experiences Conforme a sus estrategias de protección forestal, se conservan ciertas áreas designadas con altos índices de biodiversidad, y además se observan estrictamente las estrategias de protección contra incendios. Algunas de las principales limitaciones que parecen atentar contra los esfuerzos de ordenación sostenible de la empresa incluyen la necesidad de proteger la fauna silvestre de los cazadores ilegales y la extracción y el aserrío ilegal de madera en las concesiones forestales de la empresa. Dado que la gente involucrada en estas operaciones ilegales están más estrechamente ligadas a las comunidades locales que a los concesionarios, la empresa debe hacer frente a una difícil tarea para controlar las actividades de este tipo.
OFFICE DE DEVELOPPEMENT ET D’EXPLOITATION DES FORÊTS (ODEF) – TOGO La ODEF es una organización pública financiada por el Estado, habilitada por ley como la única organización encargada de manejar y mejorar los recursos forestales del país, así como su producción y comercialización. Desde el inicio de sus actividades como seguimiento de un proyecto en 1971, esta organización ha fijado una meta anual de 2000 ha de plantaciones. En estos años, se ha trabajado arduamente en pro de este objetivo mediante el establecimiento y la administración de viveros como sistemas de producción y suministro de los insumos requeridos para las plantaciones. Con la aplicación de técnicas de preparación de suelos y la producción de plántulas dentro de la institución, que constituyen la base de sus normas de manejo y tratamientos silvícolas, la ODEF ha establecido unas 10.000 ha de plantaciones que actualmente se encuentran madurando. El programa de desarrollo de plantaciones se concentra en cinco especies, entre las cuales se destaca la teca (Tectona grandis). Todas las plantaciones tienen planes de manejo que se revisan cada diez años. Sobre la base de la dinámica de crecimiento observada en las especies de las plantaciones y los turnos de rotación fijados para las cinco especies en el programa de plantación, la organización ha preparado tablas de volúmenes de producción para orientar las distintas intervenciones de manejo, incluido el proceso de aclareos en intervalos que oscilan entre 4 y 5 años. La posibilidad de corta anual establecida para todos los aclareos actualmente es de 13.500 m3 de madera en troza, y las operaciones están limitadas a un área de entre 50 y 300 ha al año. Todas las actividades de extracción se basan en un plan de extracción debidamente coordinado, controlado y supervisado. La regeneración forestal posterior a las actividades de extracción se lleva a cabo minuciosamente a fin de estimular la mayor reposición posible. Las tendencias de las actividades de extracción entre 1995 y la actualidad muestran un aumento de casi el 180 por ciento en el volumen de la madera extraída. La calidad de las trozas para madera en rollo industrial o aserrío se clasificó como media, con diámetros de entre 14 y 60 cm. Todos los productos extraídos son procesados en el aserradero de la ODEF o se exportan como madera en rollo. El aserradero, con una capacidad instalada de 8000 m3 de trozas, actualmente trabaja a alrededor del 62 por ciento de su capacidad instalada anual y tiene una tasa de recuperación de entre el 37 y 40 por ciento. Todos los productos de madera aserrada se venden fácilmente en el mercado local, mientras que la organización exporta alrededor de 8.500 m3 de trozas al año. El personal de esta organización está compuesto por ingenieros forestales correctamente capacitados con un complemento de obreros que llevan a cabo la mayor parte de las funciones administrativas y técnicas. La mayoría de las operaciones requieren intensa mano de obra ya que comprenden principalmente trabajos en fincas y, por lo tanto, utilizan una cantidad de personal temporal o contratado especialmente en las actividades de plantación. La organización participa además en algunos programas de medios alternativos de sustento con las comunidades rurales. Asimismo, financia varios servicios sociales, inclusive la construcción y rehabilitación de clínicas, represas, escuelas, etc. Sobre la base del sistema taungya de desarrollo de plantaciones, la organización está tratando de aumentar la participación de la comunidad en sus operaciones y mejorar además los mecanismos de protección forestal con una mayor intervención de la población local. Se prohíbe el uso de quemas sin control en las plantaciones y zonas adyacentes. Además, se prohíbe el pastoreo de animales en las proximidades de las plantaciones. Su red de caminos hasta las áreas de plantación ha permitido vincular y conectar varias comunidades con los centros urbanos. Como parte de la administración estatal, la organización contribuye a los ingresos fiscales a través de impuestos. Por otro lado, sus operaciones relacionadas con el manejo de bosques naturales degradados en base a técnicas de regeneración natural no parecen muy sólidas. Al parecer, el desarrollo de plantaciones depende extremadamente de las especies exóticas y existe un desarrollo muy limitado de las especies nativas o autóctonas. No se observa una tendencia a utilizar o aplicar los criterios e indicadores en los procesos de ordenación, especialmente en las plantaciones establecidas.
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Sustainable Management of Tropical Forests – Private Sector Experiences La ley forestal en que se basa principalmente la autoridad de la organización es muy antigua y necesita revisarse a fin de incorporar los conceptos que están evolucionando en la práctica de la ordenación forestal sostenible. La presencia de fauna silvestre y el nivel de biodiversidad en estas plantaciones con relación a la vegetación circundante sigue siendo causa de preocupación y, por ende, merecería quizás un estudio profundo.
GROUPE ROUGIER – GABÓN Esta empresa se caracteriza por una larga tradición en la industria forestal de Gabón, ya que opera allí desde hace 50 años. La empresa forma parte de un grupo multinacional, que también está muy bien representado en los bosques de la Cuenca del Congo de la mayoría de los países de la subregión de África Central. Según la empresa, su compromiso con la ordenación forestal se deriva de un sinfín de motivaciones, que incluyen la protección del patrimonio forestal bajo una concesión sostenible; mayor conocimiento de los recursos forestales; racionalización de las actividades de extracción maderera para una mayor productividad; desarrollo de proyectos a largo plazo con fines de planificación e inversión; y respuesta a las expectativas del mercado y otros aspectos relativos a la imagen corporativa de la empresa. La empresa tiene concesiones forestales en cuatro áreas de operación que cubren un total de 600.000 ha. Consciente de la necesidad de asegurar un manejo más responsable de sus recursos forestales, la empresa contrató a la firma consultora FRM de Francia para llevar a cabo estudios piloto y ofrecer una orientación para el logro de ese objetivo. Con respecto al propósito comercial de la empresa, su principal objetivo de manejo con fines productivos es la sustentabilidad de la producción de madera, que abarca también la sustentabilidad de la empresa así como del bosque y sus recursos. La preparación de planes de manejo comenzó con un inventario de las unidades de ordenación forestal de las concesiones de la empresa en Haut-Abanga y Ogooue-Ivindo. Para ello, se realizaron actividades de campo y se utilizó también la información obtenida de mapas topográficos, fotografías aéreas, imágenes satelitales, etc. Asimismo, se llevaron a cabo estudios socioeconómicos y otras investigaciones complementarias, así como un análisis para determinar las actividades del plan de manejo estratégico para un período de 20 a 30 años. Sobre la base de los datos de inventario y la técnica de modelos de crecimiento, se establecieron parámetros para conducir las actividades relativas a la producción de árboles forestales. Estos parámetros incluían la longitud del turno de rotación, diámetros mínimos de los árboles por extraer, lista de especies objetivo, etc. Además de garantizar la producción sostenida de madera, el plan de manejo asegura también la protección hidrológica, la conservación de bosques con un alto grado de biodiversidad, la protección de laderas y pendientes, y la conservación de ecosistemas especiales, inclusive las márgenes de ríos. Sobre la base de las observaciones realizadas en los estudios piloto, la empresa ha establecido parcelas permanentes de muestreo para continuar produciendo información sobre las tendencias ecológicas y mejorar las normas recomendadas en materia de manejo silvícola. Además, se iniciaron ensayos de regeneración forestal basados en plantaciones de enriquecimiento. La posibilidad de corta anual aprobada para la empresa es de 285.000 m3. 85 por ciento del volumen total de especies arbóreas aprovechadas es de una sola especie: Aucoumea klaineana (Okoume), que constituye una de las principales especies maderables nobles de Gabón. Las actividades de transformación de la empresa están correctamente integradas y se basan en plantas manufactureras de chapas y contrachapados. Estas fábricas utilizan alrededor de 66.000 m3 de madera en rollo de Okoume al año para producir contrachapados de calidad superior orientados al mercado de exportación. El talento humano de la empresa, que comprende un total de 950 empleados, es motivado a participar en actividades de capacitación, ya sea en el trabajo o en programas profesionales. La empresa ofrece servicios sociales para los empleados tales como alojamiento, atención médica y suministro de agua y electricidad. En los estudios socioeconómicos realizados, se identificaron cerca de 4000 miembros de comunidades locales que viven en las proximidades de las áreas de concesión de la empresa, y ésta ha adoptado varias medidas para fomentar y asegurar la sana convivencia de esta población. Con este fin, la empresa ha cedido unas 25.000 ha de su concesión forestal original y ha creado un bosque comunal para el uso exclusivo de esta gente. En relación con los aspectos ambientales, la empresa ha demarcado una serie de áreas de conservación que cubren 29.900 ha de ecosistemas frágiles para su protección. Asimismo, la empresa practica el manejo racional de recursos faunísticos para protegerlos de la caza ilegal y prohíbe la caza comercial en la mayoría de sus concesiones a través de un equipo de “guardas ecológicos”, que verifican y controlan el movimiento de vehículos en las zonas forestales para detectar la caza ilegal de fauna silvestre. Como parte de las medidas adoptadas por el gobierno para crear parques nacionales, la empresa en 2002 tuvo que ceder 83.000 ha de su concesión para la creación del Parque Nacional Invido, y ahora participa en el comité de ordenación de este parque.
Sustainable Management of Tropical Forests – Private Sector Experiences La concentración de la empresa en la tala de Okoume sin diversificar su uso para incluir otras especies probablemente pronto tenga consecuencias en la disponibilidad de esta especie. Además, es preciso realizar un estudio minucioso de las repercusiones socioeconómicas de las actividades de la empresa con respecto al comercio de fauna silvestre, ya que parecen tener impactos positivos y negativos en la población de las diversas comunidades. Estas comunidades parecen estar estrechamente vinculadas a otras poblaciones de las ciudades y están todas colectivamente motivadas al comercio de animales de caza y otras necesidades sociales para perpetuar dicha práctica.
TRANSFORMATION DE BOIS IVOIRIEN (TBI) – CÔTE D’IVOIRE Ésta es una empresa privada situada en la zona industrial de Daloa y establecida con el objetivo de explotar los recursos arbóreos forestales así como su transformación primaria y comercialización. Como empresa forestal, TBI tiene acceso a dos fuentes de materia prima: una concesión de bosque natural y una plantación forestal establecida por el Estado que es también de propiedad estatal. Sobre la base de un acuerdo de explotación entre TBI y la organización forestal estatal SODEFOR, la empresa explota la teca, a través de aclareos, bajo la supervisión de SODEFOR, tanto para su transformación como para su exportación. Las operaciones realizadas en el bosque natural se sitúan en dos áreas operativas diferentes que cubren una superficie total de 160.000 ha. Debido a los efectos de las diversas actividades humanas realizadas en estas áreas, las operaciones de la empresa se basan más en operaciones de talas de recuperación que en asegurar el manejo estricto de los recursos. Dada la gran cantidad de invasiones del bosque por el establecimiento de fincas agrícolas, la mejor opción para estas tierras es someterlas a operaciones de recuperación, una intervención que quizás no sea equivalente al manejo de la base de recursos pero que asegura el logro de los objetivos económicos más que ninguna otra cosa.
CONCLUSIONES Y RECOMENDACIONES Conclusiones Básicamente, según la definición de ordenación forestal sostenible, el antiguo concepto de la silvicultura, especialmente en relación con la función del sector privado en el contexto relativamente limitado de la obtención de ganancias a todo costo, aplicable a la mayoría de las empresas para satisfacer su responsabilidad fiduciaria con sus accionistas, se ha tornado más difícil y supone múltiples desafíos. Sin embargo, en los países miembros productores de la OIMT de la región de África, algunas empresas realmente han mejorado sus prácticas de manejo para alcanzar niveles de calidad aceptables, mientras que un número mucho mayor se encuentra en diversas etapas del proceso para permitir el logro de la OFS en la región en conjunto. Al menos en los casos estudiados de las empresas encuestadas en Gabón, Ghana, Congo y Togo, se observaron indicios visibles de mejores prácticas de manejo. Una manifestación clara de este adelanto en el proceso hacia la OFS se encontró en el caso del Groupe Rougier de Gabón. Además, tal como se observó en los resultados de la encuesta Q500, la empresa Thanry-CEB, también de Gabón, ya tiene alrededor de 615.000 ha de bosque tropical natural certificado. Por lo tanto, ya hay dos concesiones de bosque tropical natural de empresas privadas que han obtenido la certificación de sus prácticas de manejo en la región. Sin embargo, para una importante cantidad de empresas privadas, los requisitos de OFS tendrán un efecto paradójico en sus capacidades funcionales y estilos de operación, ya que sus operaciones actuales no se ajustan a tales requisitos y, por ese motivo, son sumamente sensibles a cualquier pedido de información relativa a sus actividades de OFS. Un factor determinante para aquellas empresas privadas de África que han alcanzado un importante progreso hacia la OFS es su capacidad para traducir los compromisos en actividades y para hacer frente a la mayoría o la totalidad de los costos implicados, ya sea mediante iniciativas externas de asistencia para el desarrollo o por sí mismas sin ninguna otra ayuda, como es el caso, por ejemplo, del Groupe Rougier, CIB de Congo y Samartex de Ghana. A fin de asegurar y mejorar sus prácticas a nivel de la unidad de ordenación forestal, la mayoría de estas empresas parecen mostrar una tendencia hacia la elaboración de planes de manejo o la actualización de los existentes sobre la base de inventarios forestales y estudios socioeconómicos u otras investigaciones complementarias, a fin de determinar la dinámica del bosque y, sobre esa base, fijar parámetros y normas de manejo con el fin de orientar los procesos de producción y extracción. Esta tendencia se ve reflejada en los bosques naturales del Groupe Rougier de Gabón, Samartex de Ghana y CIB de Congo, y en las plantaciones forestales de la ODEF y de TBI en Côte d’Ivoire. Otros factores, inclusive la escala de operaciones de la empresa vinculada al tamaño y la extensión de la concesión forestal adjudicada, así como la imagen deseada en el mercado, parecen tener una importante influencia en la facilidad o dificultad para participar en iniciativas de OFS.
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Sustainable Management of Tropical Forests – Private Sector Experiences En la mayoría de las empresas, en general se observaron escasas pruebas de serias infracciones de la legislación forestal y brechas de conocimientos en relación con los principios de la OFS. Sin embargo, se observaron suficientes indicios que revelaban una falta total y evidente de conocimientos específicos con referencia a los principios, criterios e indicadores compatibilizados de la OIMT y la OAM para la ordenación sostenible de los bosques tropicales naturales de África. En la mayoría de las empresas que parecían estar en esta situación, la aplicación de normas de manejo para asegurar la sustentabilidad y la integridad de las concesiones forestales dejaba mucho que desear. Si bien el nivel de producción de PFNMs no es muy alentador, una empresa como Samartex de Ghana está avanzando en la promoción comercial de algunas actividades en esta dirección. La mayoría de las actividades de I&D realizadas a nivel de empresa fueron iniciadas e impulsadas por donantes. En algunos casos, la colaboración entre las empresas y los organismos donantes ha dado lugar a proyectos que han contribuido a mejorar los conocimientos sobre la ordenación y el manejo de los bosques africanos.
Recomendaciones Teniendo en cuenta la función más amplia adjudicada a la empresa privada en la definición de OFS, tanto la OAM como la OIMT deberán ayudar al sector privado de forma más pragmática, ya sea mediante proyectos o reestructurando la información sobre los principios de OFS de la manera más fácil posible para todos los niveles de operación y los distintos tipos de empresas de este grupo de interesados. Es necesario establecer un diálogo constructivo y continuo entre el sector privado y las autoridades forestales en todos los países miembros productores de la OIMT en África como la base para desarrollar una alianza más sólida orientada al logro o progreso de la OFS. Dada la sensibilidad existente con respecto a la información sobre OFS en el sector privado que opera en los bosques africanos, todos los estudios futuros sobre este tema deberían tener un componente de sensibilización y educación para los miembros de este grupo, ya sea a través de seminarios o de otros mecanismos apropiados. Dado que los costos constituyen un importante factor inhibidor de iniciativas de OFS en África, el sector privado debería tratar de emprender iniciativas de cooperación con otros aliados en este sentido y, por otro lado, los gobiernos deberían crear incentivos apropiados para fomentar colectivamente todos estos principios. En el caso de muchas empresas forestales privadas de pequeña y mediana escala que no cuentan con la capacidad para atraer los capitales requeridos para emprender algunas de las actividades de OFS, los gobiernos deberían promover mecanismos orientados a establecer iniciativas conjuntas, compartidas o colectivas sobre los principios de la OFS bajo los auspicios de una institución estatal de investigación forestal. Si se fomenta la certificación forestal como una herramienta importante para el logro de la OFS y se desarrolla la cultura y las estructuras requeridas para las auditorías forestales, tanto internas como externas, en el proceso de gestión y evaluación de concesiones forestales por parte del gobierno y el sector privado respectivamente, se puede facilitar el desarrollo de capacidad a nivel local tanto para las auditorías como para los procesos que llevan a la racionalización de las normas de manejo forestal y su aplicación. De este modo, será posible minimizar la diferenciación existente entre los mercados locales y externos en relación con los requisitos de OFS. Parte de los ingresos fiscales obtenidos a través de impuestos forestales deberían utilizarse para respaldar iniciativas de OFS del sector privado, inclusive la publicación de los resultados de sus actividades de I&D. Mediante el desarrollo de un mecanismo de concertación por iniciativa de las autoridades forestales de los países se podría fomentar la activa participación del sector privado en el proceso de OFS de la mayoría de los países miembros productores de la OIMT en la región africana.
Sustainable Management of Tropical Forests – Private Sector Experiences 1.0
INTRODUCTION
1.1 Background The management challenges, faced by most countries endowed with forest resources, appear to be quite varied and complex. Such experiences seem to be influenced by various social, ethnic, cultural and economic factors, which are specific to a region or country. Depending on the needs of a country and its people and how such forests are valued, some of these factors have tended to gain greater prominence as well as influence than others. For most of the tropical forests that are found in Africa, the trend underlying the objectives of their management seem to have been strongly influenced by their social and economic functions as well as uses above all others. Vergara (1996) in a historical perspective has provided some insights and reasoning on this, with reference to the evolution of the status of forests and their management in general. Accordingly, he describes how tribal communities of old, for reasons of mutual assistance and protection treated the land and forests around them as common property resources, so that it was freely accessible to all the community members. He asserts that, as a result of low population pressure, long periods of fallow, and the high capacity of tropical rain forests to regenerate and grow, such traditionally managed common property forest resources were largely sustainable. He contends, that the advent of two sets of political events in the tropics seem to have disrupted this type of people-oriented forest management system, namely: • Local rulers gained sufficient powers and unified the various tribal groups into a single national entity or kingdom • Foreign colonial powers conquered the scattered tribal groups and combined them into larger political units for easier administration and governance. In either of these events, all the natural resources were placed under the national authority, eliminating the original community-based system of forest management to a large extent. However, when most of these colonies gained political independence, they maintained the centralised management system largely because of the simplicity of administration, and because these natural resources, particularly forests were then recognised as important sources of national revenue, as was the case of the hard currency that was realised from timber exports. Incidentally, this latter period seems to have also ushered in , new partners, as regards the use the forest and how to derive benefits from it. Generally, in most of the African tropical forest situation, concerns about promoting an integrated use of forest resources and its management has been the subject of many studies and reports. The problems and the prescribed solutions, seem to vary from country to country and even between forest concessions, depending on the stakeholder or interest groups that can be identified. As a result of the fact that most of the forest resources in the African region are designated as government-owned, the responsibility for managing such resources, which appear to be well documented on paper, do not in most cases reflect the reality of the situation on the ground. Therefore, issues about its sustainability, has always been and continues to be a subject of much debate, which tends to identify, the broader public including governments on the one hand and the private sector or a concerned individual or groups on the other. Whilst in most cases, some information seems to be readily available on the activities of some of these identified stakeholders, who are involved in these forestry operations, other instances present a picture of a total lack of any such information. Such situations, usually provide a recipe for the drawing of several sweeping conclusions, some of which may either be positive in outlook or otherwise very negative. Perhaps the sources of such varied perceptions may stem from the definitions and interpretations that seem to be associated with the meaning and concept of sustainable forest management itself on the one hand, and the various implied and associated roles that have to be performed by each stakeholder on the other.
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Sustainable Management of Tropical Forests – Private Sector Experiences This report seeks to provide some information on the activities of one of these stakeholder groups, and indeed a very important contributor to the realisation of most of the principal economic outputs from the African forests, and identified here as the private sector in the broader sustainable forest management equation. In this report the terms company and enterprise are used as synonyms to identify the private sector in forest-based operations and related activities, under the identity of a corporate image. 1.2 Objectives It is the aim of this study in particular and this project in general, with reference to the African region, to provide some insights in to information, relating to the contribution of the private sector to the management of the forest, in the course of the realisation of their collective and individual businesses and economic objectives. The broader objective of this project is to promote sustainable management of tropical forests. Its specific objective, is to facilitate access to and promote the use of data, information and experiences on cases of successful forest management practice, to contribute to the attainment of the ITTO Year 2000 Objective at forest management unit (company) level. 1.3 Methodology This study was carried out through two steps, in order to generate the information required in the African region. It involved principally, the use of two sets of questionnaire, which were forwarded to the forest- based industries in all the countries concerned. The first set of questionnaires, which was labelled as “Q500” was directed to as many forest-based companies as possible, as could be identified in any one country, through a preliminary desk research and the identification of dependable contact persons in the respective countries. The analysis of the responses of the Q500 questionnaire and the subsequent assessment of the quality of the responses received, through a screening process based on a criteria developed by this project, provided the basis for the selection of one company each from each of the countries in the study, for a more detailed assessment of their forest management practices, using a second set of questionnaire, labelled as “SQ2” The implementation of the SQ2 questionnaires to the selected companies in the countries concerned, however, required direct field visits to the respective countries and their related forests and an interactive process of information exchange, as well as the identification of one of the personnel of the company who would engage in the preparation of a case study on the company’s activities with reference to her forest management operations. For the realisation of the project objectives in the African region, contacts were made with all the nine (9) ITTO producer member countries, namely Cameroon, Central African iRepublic, Congo, La Cote d’Ivoire, Democratic Republic of Congo, Gabon, Ghana, Liberia and Togo. In Figure 1.1, a regional map of Africa shows the geographical location of all the nine (9) ITTO Producer member countries in this study On the basis of the geographical location of these countries, two sub-regional groups can be identified, namely the Central African sub-region with a contiguous spread of forest resource covering five of the ITTO Producer countries, and forming a sizeable part of the larger, commonly described ‘Congo Basin forests’. Such forests occur in Cameroon, Central African Republic, Congo, Democratic Republic of Congo and Gabon and also other countries of this sub- region. The other stretch of forests, which represents a rather smaller spread of forest in relative terms, can be found in the West African sub-region and this is located in the four other remaining countries, namely, La Cote d’Ivoire, Ghana, Liberia and Togo.
Sustainable Management of Tropical Forests – Private Sector Experiences
FIG. 1.1. A Regional map of Africa showing the nine ITTO producer member countries
2.0 CONCEPT OF SUSTAINABLE DEVELOPMENT AND SUSTAINABLE FOREST MANAGEMENT As a reflection of the concerns of the rapidly expanding world populations with its correspondent rates of environmental pollution, the United Nations Conference on the Human Environment, which was held in Stockholm 1972, sensitised countries, to among other things facilitate the shifting of attitudes from a purely resource utilisation orientation of the people of the world, to one that focuses on an ecological orientation. This preoccupation, including others on the same subject, have been recognised as major pioneering initiative in addressing issues which connote sustainability of resources, under a much broader concept of sustainable development, as expressed in the ‘Brundtland report’(1987) of the World Commission on Environment and Development. This report, which was endorsed by the UN General Assembly, highlighted these thoughts under sustainable development, and defined it as ‘development that meets the needs of the present without compromising the ability of future generations to meet their own needs’. This broader concept as defined, embodies two fundamental issues: the priority of addressing human needs, and the reality that there are limits to the ability of the earth’s environmental systems to provide for human needs. The framework provided by this broader concept, outlines the need for, as well as the reality for the management of all the global resource, including the forests on sustainable basis. As a natural resource which can be described as conditionally renewable, with reference to its use in the cycle of events, which characterizes human growth and development in general, forests and how they become conditioned by these activities of man, in their broader functional and ecological roles, have more or less been better defined under a sustainable management concept The concept of sustainable management, therefore as it applies to forests, is acknowledged to be extremely wide, embracing not only sustained yield of timber, which traditionally promoted selected biological characteristics of some flora species such as quality, variety, and volume etc, to maximize their economic value, but also the range of other goods, services and benefits from the forest, including their environmental function and ecological influences. In a contribution to the debate on this concept during the International Technical Tropical Timber Association (ATIBT) forum, held in Lisbon in November 1992, the president declared:
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Sustainable Management of Tropical Forests – Private Sector Experiences “The harvesting of dense tropical forests must be undertaken by respecting the principles of sustainability of the forest, that is to maintain (and when possible to improve) the objective of improving the ability of the forest to respond to the totality of its functions, be they ecological, economic or social by preserving all its potentialities for future generations. Consequently, the professionals’ desire to operate in the framework of management plans (or forest development plans) that provide within the context of development constraints, exploitation of long duration, cutting series, authorised species and species dimensions, reduced impact harvesting methods, road infrastructure, complementary silvicultural operations to harvesting, forest regeneration operations, etc...” The Association contends that since then, this concept of sustainable management and of forest development have matured at all levels including: national forestry administrations, donor communities, environmental NGO’s and private sector enterprises. From the above definitions, conceptions and meanings, it will appear almost impossible to apply the concept of sustainable management to the forest without first examining the larger problem offered by sustainable development itself. Though, this is beyond the mandate of this study, however within the context of this project, the meaning of sustainable forest management of tropical forests (SFM), will be as defined by the International Tropical Timber Organisation (ITTO). This is the process of managing forest to achieve one or more clearly specified objectives of management with regard to the production of a continuous flow of desired forest products and services, without undue reduction of its inherent values and future productivity, and without undue undesirable effects on the physical and social environment. In this working definition of SFM, the range of primary and subsidiary objectives of management, as well as the local conditions, both ecological and socio-economic, which may govern the options open to a manager, would indeed seem to vary from one forest area to another. But on the other hand, it seems that, the main focus and to a large extent the scope as well as the primary considerations of this definition as may be inferred from this ITTO (1992) document, is as follows: • Sustainable forest management should be practised on an operational and not experimental scale. • It should embrace a balanced and comprehensive range of management activities that include working plans, yield predictions and controls and other technical requirements. • It should include the wider political, social and economic criteria without which sustainability is probably unattainable. According to FAO (1998), prior to UNCED in 1992, the ITTO established a set of principles that comprises an international reference standard for the development of more specific national guidelines for sustainable management of natural tropical forests for wood production. Then, also in 1993, these ITTO principles were supplemented by guidelines for the establishment and management of planted forests in tropical regions and guidelines for the conservation of biological diversity in tropical production forests. Although these demonstrate, ITTO’s commitment to achieve sustainable management of tropical forests, there is a need to emphasize that the development, application and enforcement of national guidelines based on these ITTO reference standards are matters for national decision making, by her individual country members. Additionally, in a much more broader representation of countries and framework, UNCED acknowledged the need to reconcile the productive functions, with the protective, environmental and social roles which all types of forests fulfil. It goes further to approve an action programme, Agenda 21, under which world governments are to engage in the promotion of sustainable development nationally and also through international cooperation. For the purposes of highlighting the achievements of this initiative, UNCED defined forest management as follows- ‘forest resources and forest lands should be managed to meet the social, economic, cultural and spiritual human needs of present and future generations. These needs are for forest products and services such as wood and wood products, water, food, fodder, medicine, fuel, shelter, employment, recreation, habitats for wildlife, landscape diversity, carbon sinks and reservoirs, and for other forest products.’ This definition, further indicates that, appropriate measures should be taken
Sustainable Management of Tropical Forests – Private Sector Experiences to protect forests against ‘harmful effects of pollution, including air-borne pollution, fires, pest and diseases in order to maintain their full multiple values,’…(UNCED 1992). An expanded vision and meaning of this concept is contained in its associated ‘Forest Principles’- which represents a statement of Principles for a global consensus on the management, conservation and the sustainable development of all types of forests. As a positive step aimed at following up on the Forest Principles, there has been an extensive international agreement to formulate scientifically sound criteria and indicators for the management, conservation and development of all types of forests. One of the follow- up action in the implementation of Chapter 11 of Agenda 21, resulted in the formation of an open-ended ad-hoc Intergovernmental Panel on Forests (IPF), which was to pursue and achieve a consensus in the formulation of coordinated proposals for action in an open, transparent and participatory manner. Hence, one of its priority actions, dealt with the development of criteria and indicators for sustainable forest management. The work of the IPF was subsequently followed by the United Nation’s Forum on Forests (UNFF), whose activities in relation to forests is currently on-going. With the overall concept of sustainable forest management providing a general definition, the related policy direction and a long-term goal to be followed, including the development of criteria and indicator has contributed to a better understanding of what essentially constitutes sustainable forest management, and thus, has facilitated international debate and deliberation in this area of forests and forest management. Thus in response to Chapter 40 of Agenda 21, which calls for the development of indicators for sustainable development, and also requests countries at the national level and governmental and non-governmental organisations at the international level, to develop the concept of indicators for sustainable development, several remarkable initiatives of criteria and indicators have been developed to reflect such needs at the national level or at the forest management unit level. Although, all these various initiative make provision for most of the basic principle, relating to the management of forests, as a result of the structure and content of these different sets of criteria and indicator, their direct comparison has been described in various text as difficult. In the same context, the drawing of direct conclusions from them also seems to be impossible. However, according to an FAO analysis, relating to most of these ongoing initiatives, which can be applied at the national level, the following six elements are common to all of them: a. b. c. d. e. f. g.
Extent of forest resources; Biological diversity; Forest health and vitality: Productive functions; Protective and environmental functions Development and social needs; Legal policy and institutional framework.
The ITTO Criteria for the Measurement of Sustainable Tropical Forest Management, were developed prior to the UNCED, within the framework of the ITTO’s Year 2000 Objective. This objective specifies that, by the year 2000, all tropical timber for export should be produced from sustainably managed forests. Subsequently, the ITTO reviewed this document, and in 1998 published- Criteria and Indicators for the Sustainable Management of Natural Tropical Forests. This set of ITTO’s Criteria and Indicators is to provide her member countries with an improved tool for assessing changes and trends in forest conditions and management systems at the national and forest management unit levels. The document identifies seven criteria as essential elements of sustainable forest management with their carefully identified indicators. In the light of these developments and also in order to fulfil the research needs of this concept, an internationally coordinated efforts in testing of criteria and indicators at the forest management unit level, was promoted and facilitated by the Centre for International Forestry Research (CIFOR), in both tropical and temperate countries. In this exercise, criteria and indicators which were considered objective, cost effective and relevant in the assessment of the sustainability of prevailing forest management practices were identified, taking into account their ecological, institutional, social and economic conditions and needs. As a
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Sustainable Management of Tropical Forests – Private Sector Experiences sequel to this, in the African region, the African Timber Organisation (ATO), collaborated with CIFOR to field test a set of criteria and indicators in La Cote d’Ivoire in 1995. This enabled the ATO to develop and publish her first sets of Principles, Criteria and Indicators (PC&I), for the management of African tropical forests in 1996, for use of her member countries at both the national level and at the forest management unit levels. Subsequently as a result of further collaboration with CIFOR, similar tests were initiated in Cameroon in 1996, Gabon (1998), Central African Republic (1998), and Ghana (1999-2000). The results of these test helped to review the ATO sets of PC&Is. In this review process however, recognising that between the ATO and the ITTO, there are nine common country members, a process of collaboration and cooperation was initiated, to assist in the bridging of gaps between initiatives, resulting in the harmonization of the ATO PC&I with that of the ITTO C&I for the sustainable management of African natural tropical forests as at August 2001. The current sets of the ATO PC&Is harmonized with the ITTO C&I for the sustainable management of the African natural tropical forests, comprises of: 1 Principle, 5 Criteria, 33 Indicators, and 45 Sub-indicators to be applied at the national level. Additionally, there are 3 Principles, 15 Criteria, 57 Indicators, and 140 Sub-indicators to be used at the forest management unit level. Thus, in all the two sets of PC&Is sum up to 4 Principles, 20 Criteria, 90 Indicators and 185 Sub-indicators. The current sets of the ATO PC&Is harmonised with the ITTO C&I for the management of the African tropical natural forests, highlights sub-indicators as a basis to facilitate their use and application for multiple roles, especially with the development of verifiers for both internal and external auditing purposes and monitoring of forest policies. Generally, however although criteria and indicators for sustainable forest management are appreciated in the policy work of forestry, they seem to generate a great deal of interests in the countries under the coverage of this study in issues and activities relating to forest certification. In this regard, much as all the countries would have appreciated the formation of national working groups as the basis for elaboration of national and forest management unit specific PC&I- based forest standards to facilitate the processes of forest management auditing leading to certification and eco-labelling, this has been constrained by lack of resources in terms of financing and the transfer of the required knowledge. As a result, it is not uncommon to find that even in the countries that have been described as leading in certification and eco-labelling pursuits, namely Ghana, Cameroon and Gabon, these activities are almost halting due to lack of funds. As a result of an initiative and a proposal by the Inter-African Forest Industries Association (IFIA), for the development of a Pan-African Forest Certification system, which was adopted by the ATO- 19th Ordinary Ministerial Conference in Brazzaville, Congo ( Oct.2000), the ATO was politically and technically mandated to pursue actions and activities that would led to the realisation of this objective. Under a French government financed study on the feasibility of a Pan-African forest management certification, undertaken by INDUFOR of Finland and FRM of France, which ended with an ATO organised regional workshop in Libreville, Gabon (December 2002), it was reaffirmed that a Pan African forest management certification system should be implemented with the aim of promoting the sustainable management of African forests and also to meet the requirements of the international timber market. The workshop which was well attended by the member countries of ATO as well as international experts in certification of forests and accreditation organisations, also recommended the development of an overall system framework for national certification schemes, such that a Pan-African Certification Forum (PAFC), which will define the regulations relating to the development of the national schemes and assent to them. However, accreditation of the national systems, so developed will be provided for by the existing independent bodies. Additionally, the development of national forest management standards will be based on the ATO’s PC&I, but within the competence of nationally established National Working Groups (NWG). Thus pending financing, the fourteen ATO member countries, which includes the nine ITTO Producer member countries will operate under a Pan-African forest management certification system. It must however be emphasised that, within this complex picture of sustainable forest management systems, concepts, tools and schemes, as outlined and explained by the various definitions as well as frameworks presented above, most countries including those in the African region, have tried to fit their needs and aspirations of management of this common property resource into the requirements of these
Sustainable Management of Tropical Forests – Private Sector Experiences definitions as well as the umbrella framework offered by both the ATO and the ITTO. But as most of the countries in the African region seem to be constrained by several competing needs relating, especially, to poverty alleviation, low income levels and the abatement of hunger on the one hand, and on the other issues relating to greed, in the scale of activities relating to the economic use and the management of these forest resources, there is a need to exercise a great deal of caution, and also some degree of flexibility in the interpretation of these definitions as they would relate to the realities of forest management on the ground. Most forests in these nine ITTO producing member countries, represents more than an endowment whose value of dependency is very high for a sizable proportion of their people, which is almost beyond the description of the definitions offered in this chapter, and hence their management status and their interpretation, as well as the assignment of value, can best be described and also reflected only by the people themselves. Such is the context within which most of these selected ‘success’ stories, ought to be visualised as contributing to the process of achieving sustainable forest management. 3.0 PRIVATE SECTOR IN FORESTRY Usually in most tropical countries generally, it is common to identify traditionally two key stakeholders in the scheme of things as they relate to forest resource ownership and their management. These two principal actors are governments and their institutions on the one hand and the local community on the other. There is also another very influential stakeholder who is described as the private sector in most cases, whose activities in relation to forest management seems to have changed and evolved through the cause of time in response to the evolving needs and aspirations of business enterprises in particular and that of the society generally. The descriptions and definitions of this stakeholder seems to be presented more vividly in a modified text classification, according to Thornber et al (1999), as outlined below. In this classification, they differentiate between the range and diversity as well as some of the characteristics of various categories of forest enterprises and their practitioners. In all four categories are generally identified: Category I Integrated companies or Single-stage process companies The integrated company may own or manage the forest, as well as the processing and production of endproducts. The single-stage process company specialises in only one aspect of the numerous activities involved in the management of the forest or the processing and marketing of produce, products and the related byproducts; eg. harvesting, or processing, or paper manufacture, or trade, etc. Category II Large companies, Medium or Small-sized companies The large company is characterised with the presence of a reasonable technical and managerial capacities and has the ability to bear financial risks. She can afford to reasonably bear the entire or some of the cost of forest management and the related external communications required in image enhancement. She is highly capitalised and the benefits of economies of scale allows flexibility in her operations. The small or medium sized companies, sometimes has low levels of technical and managerial skills inhouse, although it is not uncommon to find some very good examples that are well managed. Such companies are risk averse, have a fairly averaged capacity to management their forest resources in addition to communication and access to information and as a result of their low capitalisation status, and hence it allows for flexibility. They usually adopt to all sorts of initiatives depending on the rules of the trade or game. Category III Multi-national company or National/local company The multi-national company has finances and influence on her side, has access to both forests and global resources, as well as skills, markets and finances. She can afford good forest management practices, as well as externally communicating such status internationally. She exhibits dynamism and is very responsive to the needs of external stakeholders as well as having access to a wide range of markets.
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Sustainable Management of Tropical Forests – Private Sector Experiences The national or local market although has skills and finances, this is nationally limited and she is more risk averse. Depending on her preferences, she can exhibit good forest management skills if required. She normally has poor external communication and information. Category IV Private companies or State enterprise The private company is usually profit motive-inclined and is either an individual or has a corporate identity. The state enterprise is usually restricted to state funding and policy direction and its often subsidised. These categories of companies or enterprises according to Thornber et al, may also have differing forest land-use priority initiatives. These may range between timber production, mixed land-use objective or the management for environmental benefits. These four categories of forest enterprises as identified above, or shades of these, can be found in most of the countries of this study and they will collectively represent the private sector stakeholder group of this study. In another classification which centres on purely the interests of such stakeholders, it is also possible to identify, just two broad categories of this private sector, namely corporate enterprises on the one hand and individuals or groups on the other. The corporate enterprises may be identified with one or more of these interest characteristics- to secure better access to raw materials or products or produce from users or owners of the resource; to sell goods and services to other stakeholders; they also have a strong motive and sense of gaining a comparative advantage for business. In the case of individuals or groups, it may be one of achieving an altruistic or personal/group objective; and to attract attention and popular support to ones self image or that of the group. According to the observation of Borrini-Feyerabend (1996), such stakeholders are usually aware of their interests and their abilities in terms of possession of specific abilities, capacities or comparative advantages for participating in such resource management, and therefore may be willing to invest something in terms of capital in its management for a return, which may be tangible or intangible. However, not all of these people in this broad stakeholder group, are interested in just either conserving resources or the social welfare aspects of it, nor do they all deserve an equal role in making decisions on which aspects of management ought to be considered the most important. In most cases, many may only want to participate at just a particular moment, rather than be burdened with involvement in the day-to-day management decisions, which form the crux of the management practices, which is of concern in the achievement of sustainable forest management. It follows from the above observations that, there are some significant differences in the extent of the ability, dependency, interests, knowledge, motivation and willingness of this group of stakeholders, both collectively and as individual corporate entities. However for the purposes of convenience, they are classified under one umbrella as the private sector, who are involved in the management of forest resources that they seem to be associated with. Additionally, in relation to the management of forest resources, there are various categories of ownership systems, into which the different types of private sector involvement and participatory activities fit. Some of these systems include: private entrepreneurs managing privately-owned forests; private entrepreneurs managing customarily-owned forests; private sector managing community/ tribal forestlands; co-operative management of privately-owned forestlands; state-owned companies managing customary forestlands; state-owned companies managing public forests; and private entrepreneurs managing public forests on lease. In each of the above examples the management objectives, whether expressed or implied may be based on the realisation of tangible or intangible benefits or values, which attempt to maximise the interest of all the parties in the specific relation or just one of the parties above the others. But such situations and conditions are not static as they are very much subject to periodic pressures and changes as a result of acquisition of new and relevant knowledge and the changes of the legal and statutory provisions, which govern the relationships. By and large, as a result of much more preference shown towards commercial logging activities, in most of the African region, there has been a predominance and expansion of roles relating to the three latter categories as outlined above, namely state-owned companies managing customary forestland; state-owned
Sustainable Management of Tropical Forests – Private Sector Experiences companies managing public forest and private entrepreneurs or sector managing public forests on lease. But, with a lot of drastic changes, which were experienced in the period between the early 1970 to the 1990s, as a result of various economic and policy reforms in the forestry sectors of the countries in this study, there seem to be a tendency for a shift towards the concentration on the private sector managing public forests on lease, while the State institutions continue to be responsible for activities including monitoring and reforestation. However, within the context of the management of the forests, the single most essential factor that perhaps, primarily links this group of stakeholders together, and of what this study seeks to gain an insight into, as can be referenced from the various building blocks as defined in the principles, criteria and indicators of SFM representing a standard requirement, there is always the temptation to infer that perhaps not much may be happening in the African natural forests. This reasoning, perhaps stems from the impressions originating and created by most internationally concerned sources of information on the current level of progress made with reference to how reports on the achievement in sustainable management of forests are documented and presented. This impression perhaps, may also not be a true reflection of the reality of management practices manifested on the ground. This is because, as may be implied in its definitions and meanings, the translation of this concept of sustainable utilisation and conservation of these tropical natural forests, as well as their genetic resources, in practical terms, and into reality, seems to be much more complex and costly than can be imagined. In most cases, it is easier to identify and perhaps distinguish between some, of the traditionally known and established, rather short-sighted and wasteful logging practices and methods of harvesting that have been described in various text as ‘mining of timber’, which used to be the hallmark of some operations, than efforts being made by other management and environmentally conscious enterprises. While each of the constituent members of this stakeholder group, may have previously been more used to or interested, in roles and responsibilities which were based on purely the principle of division of labour, leading to the maximisation of the resultant economic returns or otherwise, under the SFM definition, there are now a broader diversity of roles that should be accomplished better, as these only represent just the minimum requirements. The expectations that are to be fulfilled by the forest enterprise under the expanded roles in accordance with the definition of sustainable forest management include: - Minimising environmental impacts; - Offsetting impacts of operation by investments in conservation activities elsewhere and around the concession; - Sharing the economic benefits of timber extraction, which may lead to the acceptance of ‘normal’ profits; - Respect for local communities and workers; - Promotion clearer land and resource rights; - Minimisation of indirect impacts in relation to hunting, farming, colonisation, mining, etc; - Moving beyond timber to include non-wood forest resources; - Minimising resource throughput requirements; - Transparency; - Contributing to scientific knowledge. In the light of these observations, and the fact that in most of the countries in this study the Government is the majority owner of the forest resource, the private sector as a stakeholder, can be described as usually being rather more reactive than being proactive on issues relating to the management of this resource. However, in order to increasingly demonstrate in the African tropical forest region more especially, that the implementation and use of environmentally benign harvesting systems and technologies, which effectively maximise on both wood resources and non-wood values, are economically and socially advantageous, and would lead to increased productivity and reduction of waste in the forests, many private sector operatives have individually and severally shown that they are responsive to the challenges required by SFM. A commendable case in point, apart from those relating to individual efforts, is the work of the Inter-
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Sustainable Management of Tropical Forests – Private Sector Experiences African Forest Industries Association (IFIA) in the 1990’s. This is a syndicate for some 300 formal African forest enterprises, but within this association is a group which calls itself ‘ the European Foundation for the Preservation of the African forest resource and its made up of basically 17 leading members (who currently manage more than 20 million hectares). This Foundation, created in September 1999 in Milan, was born out of the necessity to promote the notion of SFM, after having collectively appreciated the ecological stakes, tasks, etc, involved in SFM, and hence have decided to integrate within their management references, which were all previously purely economic and socially based, these concerns. Such initiative have now taken firm roots and are being consolidated gradually in most of the counties where these members can be found. In most cases however the reality of the situation, with reference the commitment to the implementation and the demonstration of these expressed theoretical concepts, concerns and considerations, seem to be seriously constrained, as these largely depends on the good-will of Governments to move such processes which are required forward and also create the conditions and the enabling environment to foster this. It is also within this setting and conditions, that the private sector usually locates its investments and also reflects on how best to manage the forest resource within the limiting and competing finances that she may have. In almost all the African tropical timber producing countries covered by this study, steps have been taken by Governments, to more or less defined and adopted directives or policies for sustainable forest management, but however, the implementation of the associated forestry legislation to support these policies seems to be generally weak in the region. Thus, it is not uncommon to come across situations where adopted policies and promulgated laws are to a significant extent not backed by all the specific statutory texts needed for effective application. The result is that many laws are consequently applied without some of the required statutory texts (i.e. texts on environmental impact assessments, norms for operation in the forest environment, procedures and norms for the measurement of trees, etc), and correspondingly, many executing agencies have not as yet been organised or staffed to conform to the requirement of the new forestry policies and laws (Nganje (2000)). In some other case, some of these new polices and the laws are incoherent with other rural development sector plans and their needs. There is a general incompatible with production capacities and the regenerative ability of the forest resources, and these programmes are also not accompanied by the appropriate funding for execution. Conflicts between the various forestry sector stakeholders in terms of their roles, rights and responsibilities in forest management have not been fully addressed and understood, including some level of inter-ministerial discord. Undoubtedly, these inherent institutional bottlenecks, which are quite real, seriously affect and weigh heavily against any good intentions of the private sector to participate in activities leading to the achievement of SFM, and may perhaps have to be continuously appraised, to ensure faster progress by the African producer member countries to these goals. In the meantime however, while the status quo is contemplating reforms and changes to reflect the new demands of the international forestry debate, the private sector continues to invests and tries to adapt to the requirements, of the changing rules and regulations relating to both forest management and the economic policies of the countries concerned. As a result of these reforms towards a more private sector involvement, concession or lease arrangement procedures in most of the African countries covered by this study, are being modified or reviewed, and hence now vary from public consultations and open tenders, to the absence of such a processes, which seem not to be too transparent in outlook. Increasingly, however despite the seemingly over dependence on commercial logging activities by the private sector, there are some scenarios of positive integration of the harvesting of timber and non-wood forest products (NWFPs) in a multi-purpose system of natural forest management, that both minimize the negative impacts of timber extraction and capitalizes on the many benefits provided by the utilisation of a range of forests products. Such management systems are increasingly being developed under community forestry and collaborative forest management schemes in the region as a result of joint arrangements between governments, the private sector and also the local forest dwelling community. Additionally, as most of the Central African sub-region is especially, characterised with dense forest, whose biological diversity as well as its endemism, is exceptionally quite high, activities such as bio-prospecting and the studies of their environmental value, are increasingly attracting a lot of voluntary non- governmental organisation, which are mainly aimed at conservation of such resources.
Sustainable Management of Tropical Forests – Private Sector Experiences 4.0 THE REGIONAL FORESTRY SITUATION The regional situation with regard to forestry varies considerably amongst the nine ITTO Producing member countries. As far as natural forests are concerned, while some countries such as La Cote d’Ivoire and Ghana, no longer have much unlogged forests, others such as Congo, Central African Republic and Gabon, still have quite extensive unlogged areas. For some countries the size and spread of their forests have posed serious challenges to their management. In some of the countries, although the commercial potential of the standing crop of forest is considerably very high, unfortunately the geographical location of such forests, have served as a major drawback to exploitation, both from the quantitative point of view and that of the variety of exploitable species. This latter situation is especially so in the Central African Republic, which is a landlocked country and is also typical of some of the vast forests in Congo and the Democratic Republic of Congo which are located so far away from the nearest harbour or commercial centre. There are also indications that, as a region the annual deforestation rates are quite high but these also vary considerably, as they seem to reach very high levels in countries like La Cote d’Ivoire, Togo and Ghana. As a result of these observations above and others, the quality of the economically useful closed forest area in the various countries also vary considerably. As regards planted forests, there are also indications that a majority of the national forestry administrations of the countries in this study, have long been so concerned with planting initiatives in order to prepare for the future. But as most of the initial efforts were constrained by limited financial means, a lot of such planted forests were expressed in the form and nature of research activities. Thus plantation forests of varying sizes abound in almost all the countries, but collectively they represent a small percentage of the total forest area in the region and are mostly found on some selected industrial sites. There are various ongoing plantation forest efforts in most of the counties currently. In the light of the above, some specifics of the forestry situation as well as some of its characteristic features, are discussed under two sub-regional blocks, namely the Central African sub-region or the Congo Basin forests and the West African sub-region below, in order to reflect the picture of the two separately and naturally occurring geographical spread of the forests. Some of these features are also presented, in Table 4.1 and 4.2 . 4.1 Forest Cover Principally, as can be in Table 4.1, the Congo Basin forest resources of the five ITTO Producing member countries, of the Central African sub-region, represents over 95 percent of all the forests that can be found in that sub-region and about 35 percent of the total forests in Africa. Of the five countries, Cameroon seems to have the lowest per capita forest cover of 1.6ha.,and this is followed by the Democratic Republic of Congo, with 2.6 ha/capita. Table 4.1. Forest resources & management of ITTO member countries in the Central African sub-region
COUNTRY
1. Cameroon 2. Cen. Africa Rep. 3. Congo 4. Dem. Rep. Congo 5. Gabon Total ITTO Countries(a) Total all Cen. Africa(b) TOTAL AFRICA TOTAL WORLD
LAND AREA
FOREST AREA – YEAR 2000 Natural forest
Forest Plantation
000 ha
000 ha
000 ha
46 540 62 697 34 150 216 705 25 767 395 459 403 298 2 978 394 13 063 900
23 778 22 903 21 977 135 110 21 790 225 558 227 377 641 830 3 682 722
TOTAL FOREST 000 ha
80 23 858 4 22 907 83 22 060 97 135 207 36 21 826 300 225 858 634 228 011 8 036 649 866 186 733 3869 455
After FRA 2000 main report (page 122) FAO. a: by Author b: (There are 8 countries in Central African sub-region)
%
Ha/capita
51,3 36,8 64,6 59,6 84,7 57,1 56,5 21,8 29,6
1,6 6,5 7,7 2,7 18,2 2,6 0,8 0,6
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Sustainable Management of Tropical Forests – Private Sector Experiences The highest per capita forest area of 18.2 ha. is found in Gabon among the five countries. Generally, this sub- region seems to have an above average per capita forest area, in relation to the whole of Africa. On the other hand, in Table 4.2, the four remaining ITTO Producing member countries, found in the West African sub-region, have under their management some 20 percent of the total forest that can be found in the sub-region and just under 3 percent of all the forest resources in Africa. The respective per capita forest area ranges from as low as 0.1ha for Togo, 0.3 for Ghana, 0.5 for La Cote d’Ivoire and 1.2 for Liberia as the highest in the sub-region. The two sub-regions, where the nine ITTO African Producing member countries can be found, are collectively custodians to some 37 percent of the total forests in Africa. Table 4.2. Forest resources and management of ITTO member countries in the West African Sub-region FOREST AREA YEAR 2000 COUNTRY
1. Côte-d'Ivoire 2. Ghana 3. Liberia 4. Togo Total ITTO Countries(a) Total all West Africa(b) TOTAL AFRICA TOTAL WORLD
LAND AREA
Natural forest
Forest Plantation
000 ha
000 ha
000 ha
31 800 22 754 11 137 5 439 71 130 733 359 2 978 374 13 063 900
6 933 6 259 3 363 472 17 027 83 369 641 830 3 682 722
184 76 119 38 417 1 710 8 036 186 733
TOTAL FOREST 000 ha
%
7 117 6 335 3 482 510 17 444 85 079 649 866 3 869 455
22,4 27,8 31,3 9,4 24,5 11,6 21,8 29,6
Ha/capita 0,5 0,3 1,2 0,1 0,4 0,8 0,6
After FRA 2000 main report (page 116) FAO. a: by Author b: (There are 16 countries in West African sub-region)
4.2 Regional Round Log Production In relation to forest management in Africa, perhaps industrial round log production represents one of the major management interventions that is constantly being applied to the forest ecosystem. Thus, considered as a major economic produce from the forests of Africa, industrial round logs, have annually been produced from, predominantly natural and also planted forest sources, in all the ITTO Producer member countries. All the economies of the nine countries listed in this study, derive significant benefits of varying levels, through either the direct domestic utilisation or export of such round log produce. Some production trends in industrial round logs, recorded for the period between 1996-2000, for all the ITTO producer countries in the region are shown in Table 4.3. In this table, three of the Central African sub-regional countries, who are the major round log producers recorded peak productions as follows: Cameroon 1997; Congo 1999 and Gabon 2000. For the West African sub-region, La Cote d’Ivoire which seems to compare with the two major consistent round log producers of the Central African sub-region, recorded a peak production in 2000, with Ghana also recording a peak production in 1999. According to FAO (2003), the production trends of industrial round logs for all the countries in the West African sub-region with some significant endowment of forested lands, collectively increased between the period 1980 and 2000 at an annual rate of 0.4 percent. The volume produced, increased from 16.9 million m3 in 1980 to 18.2 million m3 in 2000. The contribution of the four ITTO producer member countries to this subregional production, however declined from 43 percent of the total for 1980 to 28 percent of the same for 2000. Especially, there is a noted significant declining trends, for some of the traditionally high volume producing countries such as La Cote d’Ivoire and Ghana. For these countries as well the species-mix of round log production is rapidly changing to include a greater proportion of lesser-known species of timber. This situation of a general decline in supply in these two countries and to a large extent, also for Togo, is slowly being offset by some production from industrial plantations.
Sustainable Management of Tropical Forests – Private Sector Experiences Table 4.3. Round log production in the African ITTO producer member countries Production x 1000 m3
COUNTRY Cameroon Central African Rep. Congo Cote d’Ivoire Demo. Republic of Congo Gabon Ghana Liberia Togo Africa(total)
1996
1997
1998
1999
2000
2800 305 704 2081 309 2513 1166 29 300 10207
3000 461 911 2054 258 3000 1189 75 319 11267
2895 530 1184 2245 244 2400 1138 157 287 11080
2235 553 1187 2177 170 3635 1140 336 314 11747
2500 720 1000 2500 170 3911 1102 466 314 12686
Source: ITTO (Annual Review and assessment-2000)
On the other hand, by virtue of its extensive tropical rain forests, as well as the dwindling forest sizes, and therefore the declining supply from the West African sub-region, the Central African sub-region has emerged as the major source of tropical hardwood round logs. In 2000 this sub-region produced about 12.7 million m3 of industrial round logs (FAO 2002), which is approximately 18.5 percent of the total African production. Most of this production, which is in the range of over 80 percent of the entire sub-regional output, is from the natural forests of the five ITTO producer countries in this sub-region. This trend in round log production for the sub-region is certainly going to continue. For reasons, which are predominantly economic, especially relating to the distance from markets, round log production for most of the five Central African countries, is concentrated on a few high-quality species of timber. In most cases such species constitute between 60 to 80 percent of the species-mix of the annual production. Increasingly, however efforts are been made to widen the scope of the species-mix of the round log production to include some lesser-known species. Traditionally, all the five ITTO producers in this sub-region are noted to be round log exporters, but various recently enacted legislations, to encourage domestic processing have contributed to the reduction in such exports, especially for Cameroon. On the whole as a region, the assessment of the trends in volume as well as the value contribution to the economies of the countries in general, with reference to round log production, has always been hampered by both recorded and unrecorded illegal logging activities. 4.3 Deforestation and Forest Degradation Most of the forests in the region, have been modified and continue to be altered in form, structure, and area by agents of deforestation and degradation These factors have grossly contributed to the loss of forest cover, with the principal architects being the people who either live around such forest resources or coming from elsewhere. The situation of the loss of forest cover in the Central African and West African sub-regions are shown in Tables 4.4A & 4.4B, respectively. Significantly, the annual rate of forest cover loss, collectively for the West African sub-region is far above what is experienced in the Central African sub-region. Table 4.4A. Forest cover loss in the ITTO producer member countries in the Central African Sub-regionn (1990-2000) Country • Cameroon • Central African Republic • Congo • Democratic Republic of the Congo • Gabon • Total Central Africa • Africa Source: FAO (2001) *n.s- not significant
Annual Forest Cover loss 1990-2000 (000ha) - 222 -30 - 17 - 532 -10 -934 - 5262
Rate of Change (%) 0.9 - 0.1 -0.1 - 0.4 n.s* -0.4 - 0.8
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Sustainable Management of Tropical Forests – Private Sector Experiences It has been observed by several authorities that, since 1975, the rate of disappearance of the productive closed forest of the West African sub- region has been one of the world’s highest, although on comparative basis, a very different picture is observed with reference to the Central African sub-region. In especially Cote d’Ivoire and Ghana to a large extent, and Liberia to a lesser extent, forest degradation and deforestation have been extremely rapid. Table 4.4B. Forest cover loss in the itto producer member countries in the West African Sub-region (1990-2000)
Country • La Cote d’Ivoire • Ghana • Liberia • Togo • Total West African sub region • Africa
Annual Forest Cover loss 1990-2000 (000ha) - 265 - 120 - 76 - 21 - 1255 - 5262
Rate of Change (%) - 3.1 - 1.7 - 2.0 - 3.4 -1.7 - 0.8
Source: FAO (2001)
In a report on the misuse of forest resources by Repetto (1988), he indicates that La Cote d’Ivoire has experienced the most rapid deforestation of any country starting from the mid- 1950s. The average annual deforestation rate, as a percentage of the remaining forest, rose from 2.4 percent in1956-1965 to 7.3 percent in 1988-1985, which was over ten times the world’s average rate of 0.6 percent recorded at that time. According to FAO (2001) analysis, on the annual forest cover loss from 1990 to 2000, La Cote d’Ivoire, though recorded a reduction in the rate of loss, which was 3.1 percent over the period, it still remained as one of the highest in the sub-region. The principal causes have been shifting cultivation, logging, and agroconversion activities and these were mainly attributed to a rapid population growth, a consequence of high fertility as well as a very high rate of immigration from low-income neighbouring countries that triggered an expanded shifting cultivation activities. In Ghana, almost all her tropical moist forests has suffered depletion, although the rate, which ranged between 0.8 to 1.3 percent slowed after 1980 mainly because there was very little forest left. Over the period from1990 to 2000 the annual rate of forest cover change in Ghana was recorded as 1.7 percent by the FAO. This situation has been attributed principally, to poverty-driven shifting cultivating and fuel-wood harvests, but logging and conversion of closed forest areas to permanent tree crop farms, particularly cocoa, also played a role. The situation in Liberia was no different, as shifting cultivation, primarily for the establishment of upland rice farms was one of the principal causes. Usually cultivators encroached on logged-over forests, using the many logging roads built since 1963, as access to start and establish most of their slash and burn farming activities The annual rate of forest cover loss for Liberia between 1990-2000 was 2.0 percent, FAO(2001). The situation in Togo, in the view of Reppeto, appeared to be a little bit different as it has the lowest deforestation rate in the West African sub- region of between 0.6 to 0.7 percent. However, between the period of 1990 to 2000, Togo recorded a loss of 3.4 percent, FAO (2001). The degradation of the little forest environment in Togo is mainly due to illegal harvesting for firewood and also farming activities. In contrast to the West African sub-region, the Central African sub-region has over the years recorded very low deforestation rates which seems to range between 0.07 to 0.1 percent in Gabon, 0.1 percent in Congo and also the Central African Republic, between 0.1 to O.2 in the Democratic Republic of Congo, with all these attributed to human disturbances including farming and logging. The highest rate of deforestation recorded in this sub-region is in Cameroon, which according to FAO estimates averaged 0.6 percent per year between1980 and 1995 and also 0.9 between 1990 and 2000. It is noted that the major contributory factor has been agricultural encroachment facilitated by especially logging road networks, which open previously in accessible areas to human settlements. As regards forest degradation in the two sub-regions,
Sustainable Management of Tropical Forests – Private Sector Experiences the major contributory factors of hunting and fire and are growing in intensity to the point of increasingly putting pressure on wildlife and forest biological diversity hotspots in the affected countries. 4.4 Investments in Sustainable Forestry Generally, most of the investments that are required, with reference to the management of forests on sustainable basis, seem to be designed to ensure concurrently, a more responsible productive operation, as well as protection of such resources and a reduction of impacts of the various operations on forest lands as they relate to timber and non-wood forest resources. Governments have as a result of being signatory to conventions which promote also the environmental value of forests, been creating more protected area, which have multiple function including the protection of wildlife, biodiversity as well as water sources and their courses . Increasingly, as a result of much awareness created in recent times, such totally protected areas of forests, are being created from existing production forests, and gazetted as state forests. Such actions appear to confer all kinds of legal status and various levels of protection status to these newly designated forests. There are also several new trans-border conservation projects under the umbrella of the ITTO project cycle, as well as other development partners, which represent substantive investments in the ensuring of SFM principles, that are currently being implement between countries. In all the countries, there appears to be a strong edge by the governments to invest in systems and procedures that can ensure that the existing forests are differentiated into production and protected forests. In most of the countries however, the responsibility relating to the management and use of most of the production forests, seems to be delegated to other stakeholders or are shared between the forestry authority and other stakeholders. The scope of these responsibilities, which tend to be a reflection of a country’s forest policy requirements, seems to dictate the level of investments, which may be required of any such stakeholder. Although the general framework for the management of such forest at both the administrative level and the concession level vary from one country to the other, the forest management responsibility and hence the associated investments required, can generally be divided into: • government-owned and established forestry departments and research oriented organisations privately owned forestry consulting companies • large-scale concession holders often integrated with industrial processing, and with or without foreign ownership • small and medium-scale forest licence holders or logging companies • private individuals who own forest land, which may include plantations. In all the countries in this study, governments have set up forestry authorities, and have invested in them to undertake various functions aimed at SFM. As the responsibility to develop especially forest management plans ,etc, and their implementation in most of the countries in the West African sub-region seems to rest with the forestry authorities, there are various shades of investments in La Cote d’Ivoire, Ghana, Liberia and Togo to reflect this role. Other investments in the form of forestry research organisation at the national level in pursuit of sustainable forest management principles can also be found in almost all the countries, with those in La Cote d’Ivoire, Congo and Ghana being quite prominent. Increasingly, most large scale concession holders, small and medium-scale forest licence holders and logging companies located in this sub-region, seem to be investing at varying levels in equipments and tools, at the company or factory-levels, to facilitate the acquisition of qualitative and quantitative information and knowledge of the forest resource. What appears to be outstandingly very picturesque are the enormous investments made in all types and classes of road infra-structure and their extensive networks, in almost all the forested lands under concession agreement in both sub-regions. It is important to highlight that as a region, most of its people have extremely benefited from these investments in road networks developed and maintained by most of these private sector companies operating in the forestry sector of all the nine ITTO timber producing countries.
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Sustainable Management of Tropical Forests – Private Sector Experiences In a study, conducted by Form Ecology (2000), the following under listed reasons were identified as contributing to the slow pace and rate of investments by the private sector in the implementation of the requirements aimed at improved forest management at the company level in the African region in general and the Central African sub-region in particular: - the fear that these changes and new requirements will produce high transaction costs, which will be difficult to absorb while still remaining competitive within the global market; - with little reliable estimates of costs available due to lack of specific information on SFM implementation in most of tropical Africa, accurate cost analysis and projections are difficult and problematic; - large recurring costs, specifically relating to forest inventories and the new management requirements pose difficulties; - lack of sufficient incentives available to companies to guarantee an optimal implementation; - inadequate knowledge base in the practical implementation of improved management of the forest. In addition to these reasons, other factors such as the almost total lack of the ability of forestry authorities in the region to monitor implementation of prescribed action, seems to have contributed to such companies, often not investing, or only complying with national legislations on voluntary basis. 4.5 Effectiveness (or otherwise) of Policy Measures In all the countries, there is the evidence of the existence of a policy document of a form that provides the basis for forest management. Depending on the time of its enactment, such a document would have taken into account all or some of the components of the still evolving definition of SFM. With the exception of Togo, whose forest policy was enacted in the 1940’s, all the other countries have, either modified or enacted new forest policies, between 1992 and 2001. In most forestry policy formulating activities, there are a certain number of regulatory instruments, none of which is effective in itself, but only in its controlled use in association with other corresponding and associated tools. Thus, the role of any coherently formulated forestry policy is to operate in such a way as to improve the methods and practices inherent in the various activities which contribute to the overall management of these forests. But the fact is that, in most of these countries, it is evident that variously prescribed systems of operations emanating from such policies, are not always well adapted to the challenges in question. Generally, inappropriate forest policies are a major obstacle to both sustainable land and forest resource management, but it ought to be acknowledged also that maintaining a fair balance of measures between all the different functions that could be demanded from a forest policy is a complex problem. This is because what may be perceived as an effective policy measure in one country due to a certain circumstance and history may not be the same in the other. Additionally, as the implementation of these policy measures vary from country to country, their effectiveness or otherwise will indeed vary in substance and nature in relation to the priorities of the set objectives; the stakeholders and their roles; as well as the resources which have been made available in each of the countries for such activities. The forest policies as formulated and adopted by the various governments in the region can only be described as effective instruments of improvement or change, if the means for their implementation are also effective. In all the nine ITTO African Producer member countries, such specific information relating to the means of implementation, especially in relation to both material and financial resources, from governments are very scarce and hence makes such an assessment very difficult. In most cases these policy measures as formulated, have served as very well as useful guides and knowledge base. In an attempt to review such measures in the African regional forestry context, there is a need to draw on some documented examples of various concepts, underlying certain policy issues and measures. For instance the tendency to implement forest policies, which are strictly confined to State-owned or protected forests, but leaving all others to their own faith, as may be observed in a number of African countries in especially the French-speaking zone. This dichotomy as expressed in the implementation of a country’s
Sustainable Management of Tropical Forests – Private Sector Experiences forest policy seems to have served as basis for disrupting the balance of usage and management of total forests’ ecological future. Also a case in point relates to measures such as excluding local communities from forest areas. This has in most cases resulted in rebellion and predatory behaviour associated with the notion that a naturally occurring resource inheritance, has been alienated. The resultant picture in most cases, is that forests, predominantly those in the West African sub-region have suffered serious degradation despite the unintended intentions of such measure. Other specific examples in this regard, which seem to have produced also conflicting results as a result of their implementation in some of the countries concerned are related below. According to an IUCN/ITTO (1992), forest conservation programme document, on the countries in this review, it is observed that the extent of their tropical moist forest type relative to others, varies from almost 0 percent of the total area of Togo to less than 10 percent in Cote d’Ivoire and Ghana, to more than 40 percent in Cameroon and the Democratic Republic of Congo, 65 percent in Congo and 86 percent in Gabon. The fact that the nature and extent of this type of forest continues to change over time in most of these countries could perhaps be interpreted as due to a failure in the effectiveness of some aspects of their forestry policies in relation to others. The practical reality in most of the countries points to a concentration of actions and activities in most of the designated production forests than all others designated types. Such forests, which tend to be relatively more noticed as a result of some of their readily recognisable economic outputs, seem to be rather expanding in size, since the boundaries mostly exist on paper only. They usually form part of the forests, either described as gazetted forests, under ‘protected domain’ as found in the Francophone countries or outside reserve forests in some Anglophone countries. Others are usually not gazetted and not protected, nor under any form of management regime. The legal status of most of these gazetted forests, provides that they are inalienable, to the extent that traditional rights and uses are regulated and that agriculture is not permitted, although there are some exceptions to this, varying from country to country. These can be found more extensively in Ghana, Cote d’Ivoire, Cameroon, and they seem to be marginally present in Congo, Gabon and the Democratic Republic of Congo. The effectiveness of their legal status as provided by the policy measures in all these countries, seems to have only resulted in doubts to a large extent. Increasingly the species-mix of most of the forests of the region seem to reflect how certain policy measures have promoted a sustainability of the entire resource of such forests. While in the West African sub-region the species-mix of most of the harvesting operations are increasingly made up of the less cherished lesser-known species of timber as a result of the dwindling numbers of the primary species-mix, the situation in the Central African sub- region in entirely different as the same primary species continue to be harvested. 4.6 The Role/Place of the Private Sector in Investing for Sustainable Forest Development Until quite recently, most of the countries in this study seemed to have singled out a few functions of the forests and promoted their importance. This in most cases had its origins from the fact that, these forests were considered principally as a naturally endowed productivity base and a source of incentive, to be used to generate and promote investments. Hence, as a result of this, the owners of these forests, have not relented over the years, to highlight the major economic benefits, which relates to these forests’ ability to provide renewable raw materials, such as timber, firewood, food, medicinal products, etc. This has been done through the use of various mechanism and systems of allocating rights and permits of use, to interested groups to satisfy their needs as far as these economic resources of the forests are concerned. Under this logic of economic development, most of these governments have mandated their forestry administrations, to promote the utilisation of their forests, using various investment schemes. This is facilitated by the granting of harvesting rights for various tracts of forests to especially, the private sector companies and individuals, who see such resources as a basis for investment in such countries. On the strength of such policies and mandates therefore, forestry authorities have addressed issues relating to the use of these forests, by prescribing roles and responsibilities for such stakeholders in order to either direct or shape the trend and magnitude of such investments.
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Sustainable Management of Tropical Forests – Private Sector Experiences The private sector as economic users of these forests, have responded to these investment opportunities, by involving themselves at various scales of operations. The scale of such investments, seem to be influenced by the source of funding, which is either external or locally based, as well as the objectives of the business venture as influenced by the host countries’ forest policy. In most of these countries especially, those in the Central African sub-region, investments in the utilisation of forest resources are dominated by a few large mostly European companies. Table 4.5 A. Forest logging companies concession areas in Cameroon
Company (Subsidiaries) Thanry (CIBC, SAB, SEBC, CFC, Prenant) Bollore (La Forestière de Campo, SIBAF) Coron Alpi (Alpicam, Grucam) Hazim (SFH) Rougier (SFID) Decolvenaere (SOTREF,SFIL) Itallegno (ECAM) Vasto-Legneault (SEFAC) Pasquet (Pallisco) OTHERS Total
Concession Area in 1998-99 (thousand hectares)
Percentage of Total Concession Area 1998-99
650 412 212 204 157 132 75 69 63 61 2,019 4,054
16% 10% 5% 5% 4% 3% 2% 2% 2% 1% 50% 100%
Source: Global Forest Watch Cameroon Report (2000)
Perhaps, the concession areas allocated to some of the major private sector companies, such as in Cameroon and Gabon, as shown in Table 4.5A & 4.5 B respectively, provide among other things a rough indication, as to what may be required in terms of investments, by such companies in the management of such forests. The tables also indicate that, some ten (10) large companies and their subsidiaries in Cameroon, and also some thirteen (13) others in Gabon, have collectively 50 percent of forests allocated for logging in each of the countries, under their operations and management Table 4.5B. Forest logging companies concession areas in Gabon Company
Concession Area in 1998-99 (thousand hectares)
Rougier-Gabon Leroy-Gabon Compagnie Forestière du Gabon Compagnie Equatoriale des Bois ( CEB-Thanry) Lutexfo-Soforga Société Forestière de Tchibanga Sociéte Industriélle des Bois de L’Otoumi du Gabon Société Forestière de Moanda Société Forestière de Zoolende Exploitation Gabonaise de Grumes Société de la Haute-Mondah Timber Mac Société Equatoriale d’Exploitation Forestière Others Total
699 654 651 505 486 246 208 200 200 171 170 157 143 4,142 8,6355
Percentage of Total Concession Area - 1998-99 8% 7.5% 7.5% 5.8% 5.6% 2.9% 2.4% 2.3% 2.3% 2% 2% 1.8% 1.7% 48.2% 100%
Source: From study
Under the concept of sustainable development, and the consensus of opinion worldwide, to develop forests based on the sustained yield management principle, new responsibilities are required of most forest owners, including these African governments.
Sustainable Management of Tropical Forests – Private Sector Experiences From this perspective, the nine ITTO African producer member countries, have been presented with a new situation, to more or less manifest these new principles and requirements in their forest management practices. Thus, in order to implement these responsibilities, which have varying technological, social, economic and political implications, some of these governments have tried to depend solely on the investments of the private sector to accomplish such tasks. Sadly, in all of such countries it will appear that, neither the forestry authority nor the private sector, had ever anticipated the economic feasibility of the new actions required. As a result of this, the response rate in terms of the commitment of investments to achieve the requirements of this concept, seems to have varied considerably among the countries. This may perhaps, be due to the fact that in all these countries, timber production, still remained the only major economic activity in forest operation. The returns of which is capable of meeting most of the cost of supporting the modification to be made in the management actions, as prescribed under this sustained yield forest management concept. The burden to generate the resource required for all these new activities, rests in most cases on the investments of economic operators or users, who are mostly represented in all these countries by just the private sector logging companies. For example, in most of the Central African countries the development of management plans, became an obligation for all the private sector logging companies in most of the recently enacted forestry laws, however the detailed requirements for such a plan was not immediately available for some time. This became a major source of insecurity for the operations and investments of most of the private sector companies. As a result, the ATIBT/IFIA commissioned a study to identify, what could constitute the minimum requirements for a management plan and the associated guidelines for its development, in order to assist its members, who are mostly from the private sector, to address this problem. For most of such private sector companies in the region, there seems to be very little incentive to invest in the application of an extensive array of technical forestry actions and requirements of an elaborate management system, as regulations tend to be loosely enforced. On the other hand, some of the private companies in both sub-regions are increasing investing in management activities at the forest unit level to enable them realise eco-labels, and hence promote their businesses in certain specific markets despite the fact that the regionally proposed scheme on forest certification is not available as yet. Significant progress in this direction has been recorded in Gabon where at least two of such private sector companies have achieved such a recognition, for their natural forests under the Keurhout Foundation system. 4.7 Brief characteristics of forestry situation The forestry situation, with reference to some of the details relating to management activities and operation especially at the forest concession area level, are characterised by certain features, which are common to all the countries and also some general differences in the two sub-regions. For the region as a whole, some of the readily identifiable commonalities of the forestry situation include the following. Timber products represent the most important source of revenue derived from all the natural forests endowments of the countries. Other goods and services, especially those relating to biodiversity, which are currently difficult to quantify economically, are currently being noted and accorded increasing recognition by governments,. In all the countries, the logging industry can be described as the mainstay of the national forestry economies as they provide as well, direct and indirect employment to nationals of all the various countries. The Central African sub-regional countries, have on the average larger natural forest concessions relative to the West African sub- region where the permanent forest estates are smaller. Additionally, some of the forest management roles, are classified purely as the responsibility of the state or that of the private sector.. The general observation is that, the implementation of forest management principles at the level of forest concession area, in the various countries show so much variation in form and basic operational elements. Hence some of the specifics as well as difference, as they occur among the countries are presented below.
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Sustainable Management of Tropical Forests – Private Sector Experiences In most of the four West African sub-regional countries namely, Ghana, La Cote d’Ivoire, Liberia and Togo, the natural forest estates are relatively smaller, and some intensive plantation development activities seem to characterise, most of the forest management activities, of this sub-region. In Ghana, the permanent forest estate covers about 1.6 million hectares out of which the production forest accounts for one million hectares, while the rest are protected areas. Most of these production forests occur on traditionally owned lands called ‘stool lands’, as they are all under the control of traditional Chiefs/ Kings. Originally until recently, usufruct rights over forest resources were totally under their authority based on the different shades of customary laws of the traditional areas, whose symbol of office is either the ‘stool’ or in other cases, described as ‘skin’, depending on which part of the country these resources are located. In the early 1970s, as an outcome of ensuring uniformity in these different traditional systems as well as restraining political conflicts, all rights over natural resources including those of commercial trees, were vested in the President of Ghana, but held in trust for the stools and her people, through administrative arrangements. As a result, most forests in Ghana, became vulnerable to the ‘tragedy of the commons’ than they were when the property rights were directly vested in the tribal groupings. The former situation seemed to have provided the local people some incentive to maintain and protect the resources better, as in most cases they were able to deal with private logging companies directly on their own terms, without much interference from Central government. The transfer of all forest rights to the Central government, although to a large extent meant that access to the remaining forests is virtually unchecked, it however ensured central planning, uniform systems of forest management procedures as well as uniform investment procedures. Under the umbrella of this uniformity in planning, the production forests are divided into 52 forest management units (FMU). All the FMUs are managed on the basis of development plans drawn by the forestry administration, which grants licences to the private operators. The maximum surface area granted to a concession holder for harvesting is 50 000 Hectares and the average size of an FMU is 20 000 ha. With the law on timber resource auctioning, approved by parliament (2002), it is envisaged that the granting of timber rights will be based on a round log tendering process. Additionally, there is the non-permanent forest estate, which more or less represents, the conversion forests designated for other forms of land use activities. These are where most us farmlands are located, and also represents the area where the greatest part of timber produce comes from. Increasingly, forest plantations are also playing the role of supplying commercial timber. As a result of the high population activity and pressure in relation to the quest for farmlands, most private sector concession holders do not feel that confident on the ability of the resource base to continuous provide access to wood raw material. As a result, decisions on forest management operations are not always based on long-term plans for sustainable timber procurement. In La Cote d’Ivoire, the permanent forest estate is about 6 million hectares, including production forests and protected areas. The total surface area of PFE effectively managed for sustainable production is estimated at 2.5 million hectares. SODEFOR, the State organisation, which is responsible for the management of all the production forests, as well as its classification, is charged with the management of some 4 million hectares of natural forests and 150 000 hectares of forest plantations. Out of the 219 classified forests in Cote d’Ivoire, 85 have management plans and the plans for the rest are still under preparation. For this and other reasons, only nine of the classified forests are harvested for timber. However, the non-permanent forest, which represents the vast rural estates, provides common access to the grant of timber resources and hence, contributes to the greatest part of the timber produce in Cote d’Ivoire. Most of the forest estate, have a result of intense agricultural activity and pressure, been subjected to encroachment. It is estimated that some 30 percent of the classified forests of this country have been invaded as a result of this high agro-activity conversion factor, orchestrated by population activity. In an effort to address this problem of PFE invasion, this country’s forestry administration, adopted a policy, which targets the increasing use and the participation of the local population in the management of forest resources as well as sub-contracting some roles to them to serve as an incentive. Logging, as carried out by private sector harvesting companies from these areas, is mostly initiated
Sustainable Management of Tropical Forests – Private Sector Experiences through the auction system, although there seems to be very little geo-referenced information on tree resources from most of these non-permanent forest estate areas. Under a system of reforms aimed at ensuring a security of tenure, as initiated by SODEFOR, management-exploitation contracts which used to be granted to the forestry industry on an annual basis, covering an area of 2500ha per a forest site, have been replaced by larger logging areas averaging 25 000ha and on a longer duration basis. This has resulted in a considerable down sizing of the original number of companies of the private sector operating in the forestry sector of this country. These two West African countries, Ghana and la Cote d’Ivoire, have a considerable number of private industrial processing companies depending on their forests. In Ghana the export of round logs has been forbidden for several years with the result that local processing has developed significantly. In Cote d’Ivoire, the export in the round log form of some species are also forbidden. In Liberia, about 50 percent of the land area is forest, and according to a report issued by the Forest Resource Mapping Survey of Liberia in 1985, there are about 3.88 million hectares of productive forests. Timber harvesting is carried out entirely by private companies on allocated concession or permit basis. Such agreements cover both the national forest and the areas outside them. In a bid to promote a more rationale forest management, a new forestry law, was adopted in the year 2000. In this regard, a Forestry Development Authority of the state, is empowered to grant forest resource utilisation rights for the purposes of the sustainable development of forest resources and environmental protection, through a forest utilisation agreement. Under this agreement, prospective individuals or companies are required to conduct surveys and submit a comprehensive work-plan to the forestry administration. Additionally, such persons are to file in favour of government, a performance bond (PB), issued by a reputable local commercial bank or financial institution. There are various categories of utilisation rights and forest- size limitations to the forest resources utilisation agreement. These are as follows: for a Class A agreement- a minimum of 809 388 ha.; for Class B agreement- a minimum of 404 694 ha.; and for Class C agreement – minimum of 121 408 ha. The forest resources granted in each category should not exceed that of the limit of the preceding category. Additionally all the agreements are valid for a duration of 25 years. A class A agreement holder, is required to develop a large scale integrated wood processing mill; a Class B agreement holder, is required to establish a medium sized processing mill and a Class C agreement holder, has to develop a small scale industry. All holders of these rights are to undertake a periodic environmental impacts assessment study of their operation and also community development projects. As a result of a series of civil disturbances in this country, the implementation of these reforms in the forestry sector, has been met with serious set backs. In Togo, there are only remnants of forests, which are made up of reserved forest estates of 156 650 ha., forming part of the government’s permanent forest domain of 859 500 ha.(15.2 percent of the country). These are in a relatively degraded condition, as a result of perhaps a combination of intensive human activities and a relatively dry climate. These two factors seem to have contributed to almost a total deforestation of the country as these reserves no longer have much value for construction timber exploitation but only for firewood and timber for local and community use. In 1987, the near disappearance of the forests led the Government to suspend all exploitation activities (IUCN/ITTO (1992)), to embark on an intensive development of forest plantations and also the rehabilitation of natural forest for a controlled production of timber. This function was vested in a State-owned establishment- Office de Développement et d’ Exploitation des Foret (ODEF). It is solely and legally mandated to undertake all the management and the commercial activities relating to forest plantations and their produce and the rehabilitation of the remaining natural forests. In 1989, industrial plantations, which essentially are composed of exotic species of trees, covered 20 508 ha., and it is estimated that some 9000 ha of this, is being managed well. As part of its plantation development and forest rehabilitation program, ODEF plants up about 2 000 ha. annually. For the purposes of controlled utilisation, ODEF has pegged its annual harvestable volume at 13 000m3 over an area ranging between 50 to 300 ha. Out of this harvest, she processes about 5 000m3 into sawn timber locally and export the rest as round logs.
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Sustainable Management of Tropical Forests – Private Sector Experiences The situation in the Central African sub-region is generally characterised by larger natural forest concessions. In Gabon, the permanent forest estate of the country covers some 12 million hectares of land, out of which 8 million ha. are classified as production forests, which include areas designated as community forests. The other 4 million ha. are designated as protected forests. Generally, as a result the rather low population density ( about 3 inhabitants per km2, with the majority living in the major cities) and a low level of farming activities, the pressure to convert these forests into other forms of land use is low except for the areas which are close to the coastal zone. The management and use of these forests, which has one of the lowest rates of deforestation in the sub-region, has been influenced by factors such as, the ease of access, and proximity to either roads or rail transportation facilities. Based on a technical and financial capability criteria developed by the forestry administration, there are generally three types of forest concession allocations. There is the management unit type permit which may be granted as multiples of a unit, the size allocation ranges from 15 000 to 200 000 ha, which could be aggregated up to, between 50 000 to 600 000ha Such permits are of a duration of 20 years and could be renewed to up to a total of 40 years. The second type of permit is restricted to an area of up to 15 000ha. The third type which is allocated based on the number of trees to be harvested, is designed for local processing needs only. By law, all these categories of forest utilisation permits, require the preparation of management plans for the designated forest concession areas. But the extent of detail of the management plans, vary in all the three categories of permits. Essentially, the management plan for the concession areas of 200 000ha. or over, which are usually allocated to larger enterprises, are to be prepared within three years after entering into an interim agreement with the forestry administration. All such management plans should be accompanied by an industrialisation plan and have to be revised every five years. On the basis of these requirements, the private sector which can generally be differentiated into the large scale with a lot of foreign capital and the others, which consist of the medium to small scale types, have since the enactment and approval of this law in Dec.2001,sought to comply with especially, the management plan requirements. However, it would appear that the pace at which these management plans are developed and approved, has been rather slow. According to a study conducted by Indufor (2003), as at May 2002, management plans had been approved for a total area of about 1 176 000 ha. These included plans drawn up by private sector operators (868 000ha) and those elaborated as part of pilot projects (308 000ha). It was also expected that management plans for some 300 000 ha , were to be approved by the end of that year. In the Republic of Congo, productive forests cover an area estimated at 20 to 21 million hectares. Since 1974 when this country adopted a forestry code, and the revision of the forestry legislation in 2000, to include SFM principles, the forests in the Congo have been divided up into 34 forest management units (FMUs). Most of the FMUs located in the south of the country, have relatively been better studied through support project assistants. But a majority of these FMUs, mostly located in the northern parts of the country have been constrained on account of access. Some of these cover more than one million hectares. Each forest management unit designated, must essentially be covered by a management plan as well as exploitation plan and also a silvicultural programme. But with over 60 percent of the forests yet to be inventoried and access restricted by distance and lack of roads, the forestry authority in partnership with the private sector and its investments, have jointly sought to realise these set objectives of the forestry code together. Through the allocation of forest concessions by the forestry administration, these private sector companies, have to principally carry out forest surveys and inventories, etc. leading to the production of forest management plans. Most of these allocated concession have a working duration of 25 years. As at May 2002, six companies had signed agreements with the forestry administration but only three had carried out the forest inventory. In the Democratic Republic of Congo, actions are under way to partially define the permanent forest estate in the central basin part of an area of approximately 60 million hectares and managed in accordance to a new forestry code adapted in Aug. 2002. A common feature, which occurs as an important article of this code (Article 99), and others in the Central African sub-region, is the development of management plans relating to forest logging operation .
Sustainable Management of Tropical Forests – Private Sector Experiences In spite of the abundant resources, harvesting levels are low as a result of the changing socio-political environment. Harvesting licences are granted based on an agreement between the forestry administration and any private operator or enterprise, for areas previously identified and surveyed by such an interested party. In the Central African Republic, production forests cover an area of about 5 million hectares, which are divided into two mountain zones, namely the south-western zone which covers close to3.5 million hectares, and the south-east zone which accounts for 1.5 million hectares. The south-eastern forest zone is not under any form of commercial logging currently. On the other hand, almost the total of the south-western forest zone, provide the concession for commercial logging, with about 10 percent of the area gazetted as a conservation area. The economic potential of the south-western forest, in terms of commercial timber, as indicated by data from a forest inventory, implemented by the Natural Resource Management Project(PARN) in 1991-1993, is estimated to be approximately 127 million m3. The average standing timber volume of this forest ranges between 15 and 24 m3 per hectare of primary species. The scale of deforestation is relatively moderate and in general terms, does not constitute a major problem. The forestry authority, operating from a mandate of a forestry code, has subdivided most of the southwestern forest estate, into 12 Operational and Management Licences (OML), with each of such area not exceed 150 000 hectares. Although, there appears to be no national zoning plan that defines this permanent estate of natural production forest, it provides the concessions for commercial logging operations. Long operational experience of a harvesting company is highly regarded when forest concessions are to be allocated. In addition to the OML, special and craft related licences are equally granted for smaller forest areas and for various forest products. These licences, however, are not necessarily based on the implementation of sustainable forest management guidelines. Collectively, in reference to their forestry situation, these 3 Central Africa sub-regional countries, namely Gabon, the Republic of Central Africa and the Republic of Congo, have the following common characteristics: - there is a tendency for international consulting companies to undertake most of the forest management planning and elaboration activities, required by the private sector logging companies, which in most cases ensures the quality of such plans, but it also highlights the weakness of national and local capacities for forest management planning; - the existing production forests seem to have registered relatively very low-level of pressure and demand for conversion, especially from the agricultural sector; - the designated forest concession areas are distributed among a limited number of large concession holders, whose current utilisation levels have not as yet over-stretched the limits, in relation to allowable cuts. The forestry situation in Cameroon, seems to have some common features, both with the West African sub-region and those found in some of the countries in the Central African sub-region. The total area of production forest is estimated at 17.5 million hectares. Forests are divided between the Permanent Forest Domain and the Non-permanent Forest Domain. On the strength of the provisions of the Forestry Law enacted in 1994, the permanent forest domain which must cover at least 30 percent of the national territory, is divided into council forests (Forets Communales) and state forests (Forets Domaniales). It is in these forests that both protected areas and logging concessions are usually located. The nonpermanent forest domain includes the remaining forests, which may be converted to non- forest land. The law provides also for community forests, which are designed to promote village-based forest resource management. To this end, the government is supposed to provide such communities with free technical assistance. All logging activity in any of these designated forests, are subject to approval by the government’s office in charge of forests, who operate through the granting of four different types of logging titles, namely:
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Sustainable Management of Tropical Forests – Private Sector Experiences - Ventes de Coupe ….usually allocated for one year over a maximum area of 2 500 ha.; - Exploitation Permits….usually allocated for one year with a maximum volume of 500m3; - Autorisation de Récupération ….usually allocated for three month maximum with a volume not exceeding 30m3; and - Convention d’Exploitation (UFAs) or Forest Management Units (FMUs)- allocated for fifteen years, renewable, reassessed every three years and may not exceed 200 000 ha., but requires a management plan. A logging activity in the permanent forest domain or estate, is carried out through vente de coupe or a convention d’explotation. The latter is commonly called a concession and may be composed of one or more Unités Forestières d’ Aménagement (UFA) or a forest management unit. On the other hand logging in the non-permanent forest domain is carried out through vente de coupe, a permit, or an autorisation de recuperation. Efforts have been made by the forest authority to map out the permanent forest domain based on a zoning plan which was made official in 1995. The zoning plan envisaged the mapping of 90 FMUs with areas between 30 000 and 200 000 hectares. Out of the proposed 90 FMUs, 74 have already been defined by July2002, covering an area of 5 million hectares. The FMUs can be managed individually or grouped to form a concession in case neighbouring FMUs are allocated to the same enterprise. The elaboration of management plans, which should follow a model and procedures set by the forestry administration, is the responsibility of the logging company to which the concessions have been allocated, within three year of any such allocation. These plans must address the ecological, economic and social aspects of maintaining a sustainable logging operation. By June 2002, management plans for 21 FMUs had already been submitted for the approval of the forestry administration, a process which seems to be somewhat slow. Cameroon, from the description above, seems to have the smallest average concession size in the Congo Basin, which in the view of most forest companies prevents the implementation of sustainable forest management in the country. In their opinion, the sizes of the concessions do not seem to serve as very attractive incentive, for projection returns on their investment plans. While in most of the other Central African sub-regional countries, concessions are managed by large-scale companies, with their numbers not exceeding fifteen per country, Cameroon has hundreds of enterprises of various sizes licensed for forest harvesting. These enterprises belong to either a major industrial group operating in several countries, especially in the Congo Basin, with external capital, or often to some smaller national enterprises. Usually the smaller the size of the enterprise, the more financial and technical difficulties it faces in the implementation of sustainable management. Cameroon equally has a lot more industrial wood processing facilities in this sub-region than any of the other countries. 5.0 PROJECT FINDINGS In pursuit of the methodology developed for this project, measures were taken in the African region, to involve as many of the private sector companies/organisations, of the nine ITTO African producer member countries, as possible in the first stage survey, conducted through the Q500 questionnaires. However, responses were received from only six countries, and these were, the Central African Republic, Congo, Gabon, La Cote d’Ivoire, Ghana and Togo. The three non-respondent countries were initially, Cameroon, the Democratic Republic of Congo and Liberia. But, as a result of an intervention and support from the ITTO and the project’s implementation secretariat of the Government of Malaysia, it was possible to facilitate a re-run of the Q-500 questionnaire survey for Cameroon, thus improving the total country participation and response status, to seven or 77 percent for the African region. With reference to the two remaining countries, namely the Democratic Republic of Congo and Liberia, the total non-response situation could perhaps be explained on the basis of the fact that the countries were either on the verge of getting out of a civil conflict or had just succeeded in doing so and hence, communication difficulties and other restructuring problems could not facilitate the involvement of the targeted enterprises.
Sustainable Management of Tropical Forests – Private Sector Experiences The Q500 survey and its responses, provided the basis and also served to identify the success stories on SFM, for the second stage of the study, which was based on site visits, and the use of a detailed interview and assessment format- QS2 in the preparation of case studies. The responses were subsequently analysed, and on the basis of a developed selection criteria, one forest enterprise from each of the seven countries, who willingly participated in the Q 500 survey, was selected, for the second stage of the study, which was based on a QS2 survey and case study format questionnaire. In general, it was observed that, the private sector which represented the main targeted group for this study in all these ITTO Producer member countries, seemed to vary in their numbers from year to year in most of the countries, as indicated by their country statistics. The variation in numbers as observed, appears to be due to establishing the differences between, a registered private sector company which is known to be operating in the forestry sector as a business entity on the one hand, and those who are registered and also have the required authorisation to operate in the forestry sector for a particular year, on the other. A summary, as provided in Box 5.1 shows that, this difference features more prominently in the data from the Francophone ITTO Producer member countries. Box 5.1. Registered/Authorised private sector forest enterprise/ Organisation operating in the ITTO African producer member countries Country Cameroon Cent. African Rep. Rep. Of Congo La Cote d’Ivoire Dem. Rep. Of Congo Gabon Ghana Liberia Togo
No. Registered Only No. Registered and Authorised (1999-2001) (1999-2001) Over 300 Over 12 Over 15 Over 300 Over 15 Over 17 Over 120 Over 20 1
80 10 13 166 6 Over 12 110 approx 12 approx 1
Source: From this study (per. comm.)
As a result of this annual authorisation requirement, which has to be sought by companies and organisations, especially in most of the francophone member countries, there was a marked variation, in the numbers of private sector companies available in any one country from year to year, which was to serve as the sample base for this study. For example, while in the La Cote d’Ivoire there are over 330 privately established enterprises, for various reasons including lack of authorisation to operate in a particular year ( i.e. 2001 & 2002), only about 166 of them were actively operating when the survey was conducted. In Ghana, the actively operating forest enterprises were between 110 and 120, although this requirement is not usually strictly followed here. In the Central African sub-region, the actively operating enterprises, ranged from 80 in Cameroon, 12 in Gabon, 13 in Congo, 10 in the Central African Republic and some 6 in the Democratic Republic of Congo. As summarised in Table 5.1, the first stage of the study - Q 500 survey questionnaire, received a total of 55 responses from all the seven responsive countries. An analysis based on the information as presented in the table, shows that this survey achieved, a 15 percent over all response rate from the private sector forest companies and organisations in the seven countries who participated.
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Sustainable Management of Tropical Forests – Private Sector Experiences Table 5.1. Q500 and QS2 survey questionnaire results Country CENTRAL AFRICAN SUB-REGION Cameroon Central African Republic Democratic Rep. Of Congo Rep. Of Congo Gabon WEST AFRICAN SUB-REGION Cote d’Ivoire Ghana Liberia Togo TOTAL
Q500 Survey Response Response Rate
QS2 Survey Company Participation
4 out of 50 distributed 3 out of 30 distributed Nil out 30 distributed 7 out of 25 distributed 5 out of 30 distributed
8% 10% Nil 28% 16%
No response No response Nil Yes Yes
5 out of 65 distributed 30 out of 110 distributed Nil out of 25 distributed 1 out of 1 distributed 55 out of 366
7% 27% Nil 100% 15%
Yes Yes Nil Yes 5 out of 7 Selected
In the West African sub-region, all the respondent companies from La Cote d’Ivoire were from the private sector. In the case of Ghana, 28 out of the total of 30 of enterprises, were purely privately owned while 2 of them were government-owned but public limited liability companies. The only response from Togo was from the state-owned legally mandated and authorised organisation in the forest sector. All of the responses received in the Central African sub-region, were from privately owned forest enterprises. 5.1
The First Part of The Survey- Q 500
5.1.1 Reluctance of companies to participate as well as respond Although, the general expectation was that, most of the designated enterprises, targeted in the various ITTO African producer member countries would have willingly participated in the Q500 survey, the response rate indicated otherwise. The reluctance of the enterprises to participate may be due to a number of reasons. These may range between not receiving the survey questionnaire at all, due to perhaps the rather poor and inefficient as well as ineffective way used by the various nominated contact persons in the respective countries in the distribution of the questionnaires. In other cases, where there were further request for the same survey forms to be re-sent, it will appear that for such enterprises, the quest for time in their priority list of things, including procrastination and neglect made them forget about the need to complete the questionnaire and forward them as required. Others, it will appear, felt the individual questions were too sensitive to be answered, as by doing so they would be divulging some vital company information. Perhaps, some companies also felt that by responding, they would be exposing the companies’ inefficiencies for criticism later. Some enterprises seemed to shy away from any form of publicity, be it positive or negative. Still, there were other companies, who seemed to be fatigued and tired with the persistent demands for similar information and had just, therefore decided not to fulfil such request any longer. Unfortunately, it is almost impossible to understand or predict the real reasoning behind the enterprises’ choice of behaviour in all these circumstances, as far as their participation in the first part of the survey was concerned and one can at best only speculate. An analysis of the Q500 survey responses, from the 55 respondent forest enterprises in the countries of the African region in general, differentiated into respondents from the Central African sub-regional and also the West African sub-regional countries, are discussed under variously identified sub-headings, in the pages of this chapter. Some graphical presentation of these results are also presented in the pages of the appendices or annexes. An anlysis of the relevant information on the Q500 survey questionnaire are presented under the broad headings below.
Sustainable Management of Tropical Forests – Private Sector Experiences 5.1.2 Unstable Tenurial situation. Generally, with new concepts which are based on community forest initiatives, the agitation to create more parks and expand conservation areas, etc., being implemented increasingly especially in most of the countries, some forest concessions of the enterprises, in terms of sizes as well as their status appear to be in a dynamic state of being altered. From the perspectives of the under listed issues, which included ownership of forest base; type of forest concession and the area of forest concession; and other factors relating directly to the degradation of the forest, the forest resource tenure situation of the enterprises were explored. a. Ownership of the forest resource base The forest resource base of all the respondent enterprises in the Central African sub-region, are government or state-owned. In the case of the enterprises from the West African sub- region, all the forest resource base for the companies from La Cote d`Ivoire and Togo, are also government-owned, but those for the respondent companies in Ghana, are slightly different. The situation found in Ghana is described as Stool Lands, which appear to be a variation of a community-owned land. This forest resource base is held in trust and managed on behalf of the Stool and its people by the Government of Ghana. b. Type of forest concession While almost all the forest concessions of the respondent enterprises in the Central African sub-region are from a natural forest base, 94 percent of the West African respondents had a natural forest base as concessions. There were also 19 percent of the respondents, of the West African sub-region depending totally or partially on planted forest concession. In the African region as a whole, 94 percent of the respondents, had a natural forest concession, with 13 percent totally or partially dependent on planted forest. c. Area of forest concession Cumulatively, the four (4) Cameroonian respondent companies had between them some 530,000ha of natural forest; the five (5) companies from Gabon had between them, slightly over 2.3 million hectares of natural forest concession, the three (3) enterprises from the Republic of Central Africa, had over 500,000 hectare of natural forest ,and the respondents from Congo, seven(7) in all, had over 3.7 million hectares of natural forest between them. This represents a mean natural forest concession size of slightly over 370,000ha per each respondent company for this sub-region’s enterprises. With the West Africa sub-region, the five(5) respondents from La Cote d`Ivoire had natural forests cumulative area of, slightly over 1 million hectares. The average size of natural forest concession, for these respondents from La Cote d’Ivoire is in the range of 200,000 ha. Most of the respondents from Ghana, provided very little or no information on the area of forest concessions, that supports their operations. The only, respondent enterprise from Togo’s operations was based on planted forests of some 10,000 hectares. In addition to the natural forest base, there are some 6,500 hectares and as little as 20 ha. of planted forest recorded for La Cote d`Ivoire and Ghana respectively. On a regional basis therefore, as evinced from the respondents` information, of the over 8.0 million hectares of natural forest concession as recorded by this study, 87 percent can be found in the Central African sub-region, with a mere 13 percent occurring in the West African region. d. Practice of shifting cultivation The level of shifting cultivation in the various forest concessions, in terms of numbers, were as follows: A total of three (3) out of the four (4) respondents from Cameroon were experiencing shifting cultivation activities in their concessions.
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Sustainable Management of Tropical Forests – Private Sector Experiences In two (2) out of the five (5) of the concessions of the respondents in Gabon, the effects of shifting cultivation were being experienced. In a similar fashion, two (2) out of the three (3) enterprises in the Republic of Central Africa also confirmed the presence of the practice of shifting cultivation. Also six (6) out of the (7) respondents from Congo, confirm the same practice, in their forest concessions. For these four Central African sub-regional countries, the effect of shifting cultivation on the integrity of most of the concessions ranges from as low as 40 percent in Gabon, through 75 percent in both Cameroon and the Central African Republic, and 86 percent in the Congo. In the West African sub-regional countries, all the respondents from La Cote d`Ivoire and Togo confirmed the practice of shifting cultivation in their concessions. In the case of Ghana, 21 enterprises or 70 percent of the respondents confirmed the practice of shifting cultivation in their forest concessions. As a region, the results indicate that some 68 percent of the respondents in the Central African subregion as against 75 percent in the West African sub-region have the manifestation of the practice of shifting cultivation in their forest concessions. With none of the respondent enterprises in the entire region indicating that her forest resource base is privately owned, the indications are that their timber supplies and hence, issues relating to tenure, are under the jurisdiction of the forestry authorities in the countries concerned. In each case, such an authority provides, ensures and also guarantees a form of security of resource tenureship for the operations of these enterprises, in accordance with the prescribed laws. Despite this assurance that exists, for most of these respondent enterprises, there are some uncertainties and concerns, which relate especially to right of access, the area and the length of tenure granted to them. Most forestry authorities, in the region have tended to address some of these by extending such resource custody periods in their laws, in order to serve as an incentive towards both the use, and the facilitation of good management practices. This action, however still seems to be rather too late in the day for some countries, especially those in the West African sub-region.. For example, the rather high population activity in especially two of the West African sub-regional countries, Ghana and Cote d’Ivoire, as well as the smaller forest concession sizes, as compared to those in for example, Gabon and the Central African Republic, appear to convey a sense of insecurity to most private sector enterprises, who are still operating in especially these two West African sub-regional countries. Additionally, the practical manifestation of forest degradation, resulting from causes, such shifting cultivation especially, in most of such allocated concession area, as they relate to tree tenure, is seen as a major source worry, for most of these enterprises. As a result of these, there is a degree of uncertainty surrounding the value of most of the paper documented concession areas, which have been allocated but not really backed by the required practically identified boundaries on the ground. Even in the countries, where some attempts have been made to practically, address some of the human factors identified as contributing to such unstable tenurial issues, through the creation of community forests, as in La Cote d’Ivoire, Cameroon and most recently Gabon, only partial improvements seem to have been recorded. This may stems from the fact that, in this attempt at broadening the scope of participation, as a means of improving the management of such forests, the subjective interpretation of the meaning of the definition of the terms used, ‘people or communityparticipation’, have themselves being a source and a subject of perhaps more confusion. In Togo, where some strict legal provisions are in place, which empowers the State-owned company in charge of forest development-ODEF, for the management of this resource, the security status of some of the planted forests can not be entirely guaranteed. A conflict which seemed to have erupted over land tenure between the ODEF and a number of neighbouring communities, who were disputing a preservation order (enacted in the 1930s), placed on the Eto forest, resulted in some 4000 ha. of matured forest plantation being burnt down These few examples, may perhaps serve to illustrate the various degree of insecurity in the tenure of forest resources in parts of the region, and also what may be happening in the concessions of some private sector enterprises, as policies of exclusive management are weakened or made ineffective.
Sustainable Management of Tropical Forests – Private Sector Experiences The general trend seems to be one of a transition from control of forest lands by centralised agencies to granting of individual or collective tenures to enterprises and the local communities, with the view of improving among other things the degree of the security of tenureship. It may be too early to know the implications of this with reference to how stable this could render the resource and also promote its management from the point of view of the private enterprise especially, and others such as the local communities to participate in these arrangements. In all these case, the evolving trends, will have to be tried through time and then modified, to suit or serve as a better incentive that will promote the best principles of sustainable management in the countries which are currently initiating them, as far as improving this uncertainty is concerned. 5.1.3 Integration of Activities and Value-Addition. Out of a total of the total of 19 respondent enterprises from the Central African sub-region, all but one company is not involved in any form of processing activity. All the 36 respondent enterprises in the West Africa sub-region were engaged in some form of value-added processing activity. In the Central African sub-region, over 65 percent of the enterprises have saw-milling as their principal forward integration activity, while in the West African sub- region, over 85 percent were in the same activity. Other value-added processing activities included veneer processing, plywood manufacturing and furniture parts production, which in comparative terms were not as many as the sawmills. While 11 percent of respondent enterprises were engaged in plywood milling, and 16 percent in veneer processing in the Central African sub-region, some 25 percent of those from the West African Sub-region, were engaged in plywood milling and 36 percent in veneer, mouldings and furniture parts manufacturing. The general picture for the African region shows that, forest concessions of the respondent enterprises are integrated to 80 percent saw-milling plants, 21 percent plywood mills, and 31percent veneer, moulding and furniture-parts manufacturing plants a. Round log production-natural forests The volume of the total round logs, produced by respondent enterprises from their natural forest concessions in the Central African sub-region, for both 1999 and 2000 operational period was slightly over 2.7 million m3. The four (4) respondent enterprises from Cameroon produced 17 percent of this volume. The five (5) respondent companies from Gabon, produced 42 percent of this volume. The seven (7) respondent companies from Congo produced 31percent, and the remaining 10 percent was produced from the natural forest of the three (3) respondent companies from Central Africa Republic. In the West African sub-region, the total volume of round logs produced over the two year period from natural forest concessions of thirty-four (34) respondent companies was slightly over 2.0 million m3. Some twenty- nine (29) respondent companies from Ghana contributed to 75 percent of the total round log production from Ghana’s natural forest, with the other 25 percent attributable to the five(5) respondent companies from La Cote d’Ivoire. The only respondent company from Togo did not record any production from the natural forest. The regional round log production volume from natural forests, for the period shows a 19 percent increase for the respondent companies in the Central African sub-region from 1999 to 2000. On the other hand, round log production volume from the natural forests of the respondents from the West African subregion, fell by 8% from 1999 to 2000. From the perspective of the cumulative volume of round log production, originating from the natural forest concessions of the 19 respondents from the Central African countries, the mean annual round log production per enterprise for 1999 and 2000, were in the range of 66,490m3 and 79,112m3 respectively. Unfortunately, as a result of incomplete information from most of the West African respondent enterprises, the corresponding annual average production figures per enterprise of 30,430m3 and 28,043m3, for 1999 and 2000 respectively, may not reflect the true production situation. This not withstanding, in relative terms the respondent enterprises from the Central African sub-region seem to have natural forests, with a higher marketable potential. They can safely be described as major
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Sustainable Management of Tropical Forests – Private Sector Experiences round-log volume producers. This situation may be due to the fact that most of the countries of the Central African sub-region with the exception of Cameroon, have no restrictions on round-log exports and hence most enterprises have to produce enough round logs, to satisfy the needs of both local and export markets. b. Round log production- planted forests. With reference to round log production from planted forest, there seem to be little or no activity relating to this as far as the respondent enterprises from the Central African sub-region were concerned. On the other hand, some planted forest activities were recorded in the West African sub-region. Principally, La Cote d`Ivoire and Togo provided some figures on the round logs from the planted forest for both 1999 and 2000, although some respondents from Ghana were also engaged in this activity. Of the total recorded volume of round logs produced from planted forests of these 2 respondent countries in this sub-region, which was slightly over 48,000m3, 70 percent was produced by La cote d`Ivoire. While the production figure for the operational year 2000, represents an increase of 45 percent over that of 1999 in the case of La Cote d`Ivoire, that of Togo, was a reduction by 22 percent for the same period. In general, there was a 20 percent increase in volume as far as the regional round log production from planted forests, was concerned for the period, and this was solely contributed by respondents from the West African sub-region. c. Saw milling activities The total volume of sawn timber produced for the Central African sub-region for both 1999 and 2000 operational years of these enterprises, was slightly in excess of 520,000m3. Of this volume, respondents from Cameroon contributed 65 percent; those from Gabon contributed 6 percent; Republic of Central Africa 10 percent and Congo 19 percent. The average annual output of sawn timber for these 19 respondents from the Central African subregion, for 1999 and 2000 were13,765 m3 and 13,845 m3 respectively. The respondent enterprises in the West African sub-region produced a total volume, which was slightly in excess of 334,000m3, for both 1999 and 2000, with Ghana producing 78 percent followed by La Cote d`Ivoire with 21.6 percent. The contribution of Togo to this volume was a mere 0.4 percent for the period. For these West African respondents, the mean annual sawn timber output for those, who depend solely on the natural forest sources as their Central African counterparts ( i.e.34), were 5,218m3 for 1999 and 4,918m3 for the year 2000. There are marked differences in the mean annual production figures of sawn timber for the two subregions, with respondent enterprises in the Central African recording almost twice the volume of output achieved by their West African counterparts. Various reasons may account for these differences, but it might appear that the increasing scarcity of round log supplies as being experienced by most of the West African respondents, is a principal contributory factor. As the dominant value-added processing activity in the region, most of these saw-milling plant owners especially in the Central African sub-region in contrast to the West African sub-region have made investments which do not seem to go further than the production of green sawn-timber. The principal species harvested by the enterprises, from the plantations in these three countries is Tectona grandis, with part of the harvested volume processed locally and the rest exported in the round-log form as a result of the local sawmill’s capacity limitations d. Other value-addition activities The total volume of veneer produced from the respondent enterprises in the Central African sub-region was recorded from Gabon, and this was in the range of 8000m3. In the West African sub-region, however, the enterprises in two countries namely La Cote d`Ivoire and Ghana, contributed to the total recorded veneer production volume of 249,449m3. There were three (3), respondent companies from La Cote d`Ivoire, who contributed 39% of this production. The remaining 61 percent was provided by twelve (12) respondent companies from Ghana.
Sustainable Management of Tropical Forests – Private Sector Experiences The regional picture of veneer production shows very active production activity, with reference to the respondent companies in the West African sub-region, than in the Central African sub-region. There were two (2) recorded plywood production activities from Gabon and Congo both in the Central African sub-region. On the other hand, there were a total of nine (9) of such enterprises from the West African sub-region, who recorded a total plywood production of slightly more than 250,000m3 for both 1999 and 2000. Respondent enterprises from La Cote d`Ivoire produced 17 percent of this sub-regional production, while six others from Ghana contributed the remaining 83 percent. Other processed wood products in the form of mouldings, flooring and furniture parts were record only for some respondents from Ghana and therefore, just for the West African sub-region only. The volume recorded for this group of wood products was 9,9234m3, and this was contributed by twenty-three (23), companies representing 77 percent of the total respondents from Ghana. In relative term, there appears to be many more investments in relation to value added processing activity, such as in kilns, moulding mill facilities, and furniture production plants in the West African subregion than those from the Central African region. Most of such investments were indicated by the respondents from La Cote d’Ivoire and Ghana. Generally, the level of activity of value-added processing of respondent enterprises, in especially, two of the West African sub-regional countries, namely La Cote d’Ivoire and Ghana appears to be relatively higher, than that of the respondent enterprises of the other countries in the study. Perhaps one of the factors contributing to this, could be the round-log export suspension, as observed in these two countries, which may have stimulated the development of more down stream processing activities. The situation in Cameroon, is quite atypical of most of the Central African sub-regional countries, as she also has a lot more value-added processing enterprises than any of the other countries in her subregion. This may perhaps also be due to the recent restrictions placed on the export of round-logs, a condition that could have triggered more forward integration initiatives of the existing mills. 5.1.4 Human Resource Development By reason of association, the activities which relate to the use and development of human resource, have various unavoidable impacts and effects on a wider stakeholder group. These are those who are directly employed by the enterprises, and others such as the local community and forest dependent people, who as a result of their dependency on the forest resources, have become an integral part of the social system of the forest. The actions of the enterprises in this regard, impacts directly and indirectly on their development, hence the survey identified the staff and workers on the one part and the members of the local community on the other, in relation to relevant issues on training types provided; the provision of welfare facilities; information on accidents and mortality and the opportunities for employment. a. Categories of staff and workers and their training Almost, all of the respondent companies, in both sub-regions provided information on the different categories of staff and workers in their companies. In the Central African sub-region, of the 8,726 employees recorded for the nineteen (19) respondent companies, slightly less than 4 percent were professionals, 37 percent were skilled workers and 52 percent were unskilled workers. In the West African sub-region, of the slightly over 17,000 employees of the thirty-six (36) respondent companies, 8 percent were professionals, 30 percent were skilled workers and 60 percent were unskilled workers. The trend in the manpower categories for these enterprises in the two sub-regions, does not seem to vary much. There is a tendency for these enterprises to employ fewer professionals (7%), followed by skilled personnel (32%) and a much more large numbers of unskilled workers (57%). The major type of training, offered by the respondent enterprises for their staff and workers, in the Central African sub-region, indicated a higher preference in the use of hands-on-the-job type of training to other types, including short courses and certificate level training. In addition to this type of training, three (3) respondents from Cameroon, indicated a preference for also short courses as well. In Gabon, however, two respondent companies offered in addition short courses, and also training through professionally organised seminars. Some enterprises in Congo, also arrange for special courses abroad for their employees.
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Sustainable Management of Tropical Forests – Private Sector Experiences A majority of the respondent enterprises from the West Africa sub-region, indicated a high preference for both hands-on-the-job type of training and short courses. Additionally, some of the respondent companies in both Ghana and Togo, also offered training up to the certificate level. The regional situation, as presented by the responses, showed the predominance of both hands-on the job type of training, followed closely by the provision of short course by the majority of the enterprises, and a selected few providing some specialised training course. b. Welfare facilities. Most enterprises have provided an extensive array of welfare facilities to their staff and workers, ranging from the basics of housing, health, water, and electricity through schooling and also satellite television facility, which appears to be a special case. In the Central African sub-region, all the respondent from Cameroon had provided housing, health, water and electricity as priority welfare facilities for their employees. In the case of the respondents from Gabon, 80 percent of the enterprises had provided housing, health and water facilities as a first priority to their employees. The second set of priority welfare facilities offered include school and electricity. In the Republic of Central Africa, health and school, topped the priority list of the welfare facilities offered by the respondent companies. With the respondent companies from Congo, 85percent of them, had provided housing, health and school as priority welfare facilities for their employees. This was followed by the provision of water and electricity facilities. For the West African sub-region, 80 percent of the respondent enterprises from La Cote d’Ivoire, had provided health-care as a priority facility, followed by the provision of water and housing. In the case of the respondent enterprises in Ghana, 96 percent had provided health care facilities, and this was followed by 86 percent of them providing housing as well as other welfare facilities, which included the provision of school, water and electricity. The respondent enterprise from Togo, had provided welfare facilities in the form of housing, health, nursery school and water for her employees. In African region, topping the list of welfare facilities, which were provided by the respondent enterprises, were health, school and housing. These also represented the three top priorities in both, the Central African sub-region, and the West African sub-region. c. Employment of local community members by the enterprises While three (3) of the enterprises in Gabon provided employment for the members of the local communities, only two (2) of the respondents from Cameroon offered this opportunity. In the Central African Republic, one (1) out of the three companies provided employment. With reference to the respondent enterprises from Congo, all the enterprises apart from one, offered job opportunities and placements for the local people. In the Central African sub-region, a total of twelve (12) enterprises or 63 percent of their respondent, provided employment, while the remaining five (5), representing 37 percent did not provide any such opportunities to the members of the local communities. For the West African sub-regional respondents, 3 out of the 5 in La Cote d`Ivoire, or 60 percent of the respondents provided the local community members with employment while the rest did not. The respondent company from Togo also provided employment to the members of the local communities. On the other hand, 26 of the enterprises from Ghana representing 86 percent of the respondents, offered no form of employment to the members of the local community, except for 3 enterprises representing just 10 percent of the respondents. In the West African sub-region, therefore, while seven (7) of the enterprises, representing 19 percent of the respondents in that sub-region offered employment to the local community, 28 enterprises or 78 percent or the respondents did not provide any such placement for the local community members
Sustainable Management of Tropical Forests – Private Sector Experiences On a regional basis, 33 percent of the respondent enterprises provided the local communities with employment, while 61 percent of them did not offer any such employment opportunity. d. The number of accidents and mortalities. While most of the respondent enterprises did not find the need to provide information relating to this safety issue, only a few of them did. All the respondent enterprises from Gabon and the Central Africa Republic, recorded, similar trends in the numbers of accidents and mortality, which were 51 and 64, for 1999 and 2000 respectively. The average number of accidents and mortalities for these respondents in the two countries were 10 in 1999 and 12 in the year 2000 in the case of Gabon, and for Central African Republic, 17 in 1999 and 21 in the year 2000. The indications are that the respondent enterprises in these countries were recording at least an accident or mortality or both per month in the course of the years of 1999 and 2000. The total number of accidents and mortality recorded by the seven (7) respondents from Congo, which appears to be the highest in the Central African sub-region was 101 in 1999 and 163 in 2000. The mean number of accidents and mortalities, which occurred in 1999 and 2000 for these respondents were14 and 23 respectively. This also indicates that in the course of the two years, the enterprises were recording more than an accident or mortality, or both per month. For La Cote d`Ivoire respondents, a total of 99 fatalities due to accidents and mortalities, were recorded over the period. The mean number of fatalities, due to accidents and mortalities was 10 for each year in the course of the two years. The respondents from Ghana recorded a total of 255 and 195 fatalities, due to accidents and mortalities respectively for 1999 and 2000. The resultant average number of fatalities for these Ghanaian respondent enterprises was 8 per annum over the period. Generally, the trend of fatalities due to accidents and mortalities, seemed to follow a similar pattern in the two sub-regions, ranging between 1 and 2 occurrences per month, but while accidents and mortalities increased from 1999 to 2000 in the Central African sub-region by 43 percent over what was recorded in 1999, the fatalities due to these in the West African sub-region, decreased by 19 percent over the same reference year. Fatalities resulting from accidents and mortalities, represent a major source of financial loss to these enterprises. Though a record of these fatalities, could among other things, provide a rough index of the safety and health protocols and measures being implemented by these respondent enterprises, its interpretation needs to be done with caution. In most cases, it would appear that as a result of economic difficulties, some enterprises have tended to relegate certain necessary safety measures to the background, which eventual contribute to a rather high incidence of these accidents and deaths. The cost of this form of inaction on the part of the enterprises is not easily ascertainable, but their effects and implications, as well as negative impacts, go beyond the boundaries of operation of these enterprises. The general impression is that many factors appear to influence the degree to which the respondent enterprises adopt specific activities that contribute to the development of human resources both within and without their control. But the tendency seems to be one of a more concerted effort at improving the lot of the directly employed labour force, relating to their health and occupational safety ,in order to improve on efficiency and perhaps reduce on costs of their operations. 5.1.5 Neglect of non-wood forest products (NWFPs) A majority of the 55 respondent enterprises in both sub-regions of the study, had nothing or very little if any, to do with any form of non-wood forest products. This may stem from the fact that, for most of these companies the sole objective of their business is related to the commercially merchantable trees and hence, the harvesting of these NWFPs does not meet their economic ambitions. This situation could also stem from the fact that authorisation to harvest timber in most cases does not include the harvesting of such non-wood forest products, which may be the subject of another type of permit or it is a resource, which is reserved for other stakeholders.
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Sustainable Management of Tropical Forests – Private Sector Experiences Other reasons, which may perhaps have contributed to the current neglect of these NWFPs in the region by these respondents, include the non-feasibility of adapting most of the mechanical harvesting methods in use to these NWFPs. Generally, their characteristics such as extensive variety; low occurrence and distribution, which contribute to production irregularities, present enough obstacles for harvesting as they require lengthy travel time and costs. Others such as, their low value potentials, as well as their high risk of collection, in comparison to timber species, appear to make them less attractive as a business option to most of these commercial logging operators. However, as indicated by other studies, the harvesting of timber species in all commercial operations, has both positive and negative impacts on, especially the availability of these NWFPs. This is because a majority of such timber species and these NWFPs are inter-related in a range of ways. In other respects, some timber species have very important non-timber uses and therefore, the effects of logging tends to reduce their availability as a locally or regionally needed or consumed NWFPs. According to Laird (1998), the harvesting of NWFPs and timber can also be complimentary, as this generates benefits for both forest based enterprises and local communities. For example, Aucoumea klaineana (okoumé) a primary timber species which is almost endemic to Gabon, and of a major commercial importance (represented over 65 % of exports:1997-2001), yields a resin which is usually tapped prior to felling for timber. This resin is collected to make torches by wrapping them in the bark of another NWFP, called Xylopia aethiopica. Also, it is noted that, of the top 25 timber species, which were exported from Cameroon in 1997, most of them have been recorded to have quite high NWFPs value, and in fact there seems to be no ready substitutes for some of the valuable products they yield. Other forms of impacts occur with reference to various forms of destructive logging operation, which would result in a direct damage to such species, which occur in residual stands and under-storey of forests. On the contrary, logging activities can also open up the forests habitats for many NWFPs, that prefer disturbed sites and secondary forests to take advantage and flourish as a result. 5.1.6 Differing standard of silvicultural management and control The following core issues relating to the implementation of sound forest management practices by the enterprises were ascertained. a. The practice of Sustainable forestry In the Central African sub-region, all the respondent enterprises in Cameroon, Gabon, and two (2) out of the three(3) enterprises from the Republic of Central Africa indicated that they were practising sustainable forestry. All the respondents from Congo, apart from one indicated that they were practising sustainable forestry. In all 79 percent of the respondents from this sub-region, affirmed to the practice of sustainable forestry. In the West African sub-region all the respondent enterprises, indicated that they were practising sustainable forestry. As a region, 93 percent of all the respondents indicated that they practising sustainable forestry. b. Year of introduction of Sustainable forestry While in the Central African sub-region, none of the respondents from Cameroon indicated when sustainable forestry was introduced, three (3) out of the respondent enterprises from Gabon, indicated 1995, 1999 and 2000, as respectively, representing the year of introduction of sustainable forestry. One (1) respondent, from the Republic of Central Africa, indicated 2001 as the year of introduction of sustainable forestry. Five (5) of the respondents from Congo, also indicated the following years as representing the introduction of sustainable forestry practice by their respective enterprises-1995,1997 1999,2000 and 2002. In the West African sub-region, four (4) of the respondent enterprises from La Cote d’Ivoire, indicated respectively: 1990,1995,1995 and 1997, as the year of introduction of sustainable forestry.
Sustainable Management of Tropical Forests – Private Sector Experiences For Ghana, 73 percent of the respondents indicated 1980 as the year of introduction of sustainable forestry, with the rest indicating years spanning from 1985 to 1996. The respondent from Togo, indicated 1987 as the year of introduction of sustainable forestry. For the African region, the respondent companies’ year of introduction of sustainable forestry, spans from 1980 to 2002. c. Management plan In the Central African sub-region countries, there were variations in responses to the availability of management plans. All the four (4) respondents from Cameroon indicated they had management plans. Out of a total of the five (5), respondents from Gabon, four (4) of them indicated they had their management plans in place, and also all the three respondent enterprises from the Republic of Central Africa, also had management plans. On the other hand, of the seven (7) respondent enterprises from Congo, three (3) had management plans, but two (2) of them, were without any management plan. There were two (2) other who indicated that their management plans were under preparation. In the West African sub- region countries, out of a total of the five (5) respondent enterprises from La Cote d’Ivoire, two (2) of them had a management plan, with the other two (2) without any such document, while the fifth respondent avoided to provide any information on this. All the respondent enterprises from Ghana apart from one (1) of them, who did not provide any information on this issue, indicated that they had a management plan in place. The only respondent enterprise from Togo, also indicated that she operated based on a management plan. In general, while 69 percent of the respondent enterprise from the Central African sub-region had management plans, 89 percent of those from the West African sub-region also confirmed that they had management plans. d. Planning period of the Management plan In the Central African sub-region, of the four (4), respondent enterprises in Gabon who indicated that they had management plans, only three(3), indicated the planning period of the management plan. Two of these enterprises’ management plans have planning periods of 25- years each, and the other has a 30-year planning horizon. For the Republic of Central Africa, two (2),out of the three(3) respondents have a planning period of 5years, and the other has a 30-year planning period for her management plan. Out of the three (3) respondents from Congo with management plans, one company’s planning period is 1year only, another indicated a 5-years planning period, while the third enterprise’s planning period is 30-years. In the West African sub-region, of the two respondent enterprise in La Cote d’Ivoire who indicated that they had management plans, only one (1) of them, indicated the planning period, which is 1-year. For the twenty-nine (29), respondent enterprises from Ghana, who indicated that they had management plans, 27 or 90 percent, had management plans with planning periods of 10-years each. There was one company, whose management plan had a planning period of 5-years, and another with a 15- year planning period. In the case of the only respondent company from Togo, the planning period of the management plan was indicated to be 10-years. Generally, as a region the planning horizon of the management plans of the respondent enterprises spanned from 1 to 30 years. e. Consistency of Management plan with ITTO Guidelines Within the group of respondent enterprises in the Central African sub-region, the extent to which the enterprises could affirm positively, that their management plans were consistent with the ITTO Guidelines is as follows: Cameroon -2 respondents out of 4, representing 50 percent; Gabon - 2 respondents out of the 5, representing 40 percent; the Republic of Central Africa -1 out of the 3 respondents or 33 percent; Congo -3 out of the 7 respondents or 42 percent.
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Sustainable Management of Tropical Forests – Private Sector Experiences In the West African sub-region, the consistency of the plans with the ITTO Guidelines were as follows: La Cote d’Ivoire- 2 out of the 5, representing 40 percent; the only respondent from Togo; Ghana- 28 out of the 30 respondents or 93 percent, also affirmed this consistency. In general, while 42 percent of the respondent enterprises in the Central African sub-region did affirm that their management plans were consistent with the ITTO Guidelines, 86 percent of the respondents from the West African sub-region also indicated the same. A total of 71 percent of the respondents in the region affirmed this consistency. f. Broad management systems practised From a range of management systems, which included seed tree, selection, coppice, and also coppice & standard, the respondents in the Central African sub-region indicated the system that is broadly practised by their enterprises as follows. None of the Cameroonian respondents reported on this. There were two (2) respondents from Gabon, who practised a selection type of management system, while one company depended on a seed-tree type of management system. Four (4) of the respondents from Congo, were practising the seed tree type of management system. An enterprise practised the selection system, while another used the coppice and standard system. With the Republic of Central Africa’s respondents, only 2 companies indicated, that they practised the seed- tree management system. In the West Africa sub-region, while 2 respondents from La Cote d’Ivoire practised the seed-tree type of management system, another enterprise depended broadly just on ad-hoc measures for the management of the resource. The situation in both Ghana and Togo were dominated by the use of a mix of two or more broad management systems. The only, respondent from Togo, practised a mix of clear felling as well as standard and coppice management system. Of the 27 respondents from Ghana, two companies or 7 percent practised only seed–tree type of management; six of the enterprises or 22 percent practised only selection management system; one of the enterprises, or 4 percent practised a mix of selection and seed-tree management system and eighteen or 67 percent of the enterprises practised a mix of selection and clear felling systems. The general picture from the regional point of view is a predominance of single types of broad management systems in the Central African sub-region and a predominance of a mix of two broad management systems practices in the concessions of the enterprises in the West African sub-region. g. Annual allowable cut From the 4 respondent countries of the Central African sub-region, 50 percent of the four enterprises of Cameroon; 60 percent of the five enterprises of Gabon, indicated that they operated based a prescribed annual allowable, which is derived from inventory information. In the Republic of Central Africa, 66 percent of the enterprises also operate on the basis of prescribed annual allowable derived from inventory information. Only one of the enterprises out of the six (6) from Congo, indicated that the prescribed annual allowable cut is based on inventory information, while the rest were silent on this. In the West African sub-region, while most of the five (5) respondents, from La Cote d`Ivoire`s annual allowable cut does not seem to be based on inventory information as far as their operations in natural forests were concerned, the situation appears to be different for those who operated also from plantation forests, where this was a necessity. Almost, all the respondents companies from Ghana (i.e.96%) and that from Togo, indicated that their annual allowable cut prescriptions, were based on inventory information.
Sustainable Management of Tropical Forests – Private Sector Experiences h. Harvesting Plan All the four (4) respondents from Cameroon and the four (4) respondents from Gabon, developed harvesting plans to cover their operations. In the Republic of Central Africa, two (2) out of the 3 respondents prepared harvesting plans to guide their operations. In Congo, 85 percent of the respondents prepared harvesting plans for their operations. In the West African sub-regional countries, 80 percent of the respondents of La Cote d`Ivoire, prepared harvesting plans; the only respondent enterprise from Togo also prepared a harvesting plan. Some 96 percent of the respondents of Ghana had harvesting plans. Generally, 80 percent of respondents in the Central African sub-region as against 94 percent of such respondent in the West African sub-region, prepared harvesting plans. i. Type of Harvesting system In Cameroon, all the four (4) respondents depended on tractor skidding, with some of them also depending on high lead yarding system. Four (4) respondents from Gabon depended on tractor skidding, with two of them also using high lead yarding system. All the respondents from the Republic of Central Africa, depended on the high lead yarding system. For Congo, four (4) of the respondent depended on tractor skidding only, while another enterprise solely depended on high lead yarding system, with two (2) others depending on a combination of high lead yarding system and tractor skidding methods. With reference to the West African sub-regional countries, three (3) of the respondents in La Cote d`Ivoire depended solely on tractor skidding. An enterprise depended solely on high lead yarding system, while another depended on a combination of high lead yarding and tractor skidding systems. With reference to respondents from Ghana, 86 percent depend solely on tractor skidding system, with one enterprise depending on a combination of high lead yarding and tractor skidding systems. The respondent company from Togo, used a combination of the high lead yarding and tractor skidding systems. Most of the respondents in the region depended solely on the tractor skidding system and a few companies also depend on the high lead yarding system. A combination of these two systems, are also used but, on a rather lower scale than as separate systems in the two sub-regions of Africa. j. Pre-harvest inventory All the respondents in Cameroon as well as those in Gabon operating from their own forest concessions, including all the respondents from the Republic of Central African, and also 6 out of the 7, or 86 percent of the respondents in Congo, confirmed that they undertook pre-harvest inventory surveys. In the West Africa sub-regional countries, four (4) respondents of La Cote d`Ivoire; 29 respondents from Ghana, as well as the only respondent company from Togo, all confirmed that they undertook preharvest inventory surveys. In the African region, therefore, while 89 percent of the respondents in the Central African sub-region, undertook pre-harvest inventory surveys, 94 percent of those in the West African sub-region similarly confirmed, that they also undertook pre-harvest inventory surveys. k. Road planning In the Central African sub-regional countries, all the respondents from Cameroon and those in Gabon operating from their own forest concessions, undertook road planning. All the three (3) respondents from the Republic of Central Africa were silent with respect to this activity, while all the 7 respondents from Congo indicated that they undertook road planning activities. For the West African sub-regional countries, three (3) of the La Cote d`Ivoire respondents, confirmed that, they undertook road planning.
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Sustainable Management of Tropical Forests – Private Sector Experiences While for Ghana, 26 respondents indicated that they undertook this same activity. The respondent from Togo, also confirmed that she undertook road planning activity. Hence, road planning activities were undertaken by some 15 enterprises, which represents 79 percent of the respondents of the Central African sub-region, as against 30 companies, representing 83 percent of the respondents from West Africa. l. Making provision for stream buffers With reference to making provision for stream buffers, three (3) of the respondents from Cameroon as well as Gabon, and two (2) from Congo, undertook this activity. The rest of the Central African respondents did not make any such provision. In the West African sub-region, just one or 20 percent, of the La Cote d`Ivoire respondents; 21 enterprises from Ghana representing 70 percent of the respondents, and a negative response from Togo, showed the extent to which this activity was undertaken. In the African region, as a whole, 42 percent of the respondents from the Central African sub-region as compared to 61percent from the West African sub-region provided for stream buffers in their operations. m. Directional felling As regards harvesting activities, which are based on directional felling techniques, two (2) of the respondents from Cameroon, and one (1) respondent from Gabon, as well as a respondent from the Republic of Central Africa indicated that they used this technique. Additionally, there were also four (4) of the respondents from Congo, who also used this technique for felling in the Central African sub-region. In the West African sub-region, two (2) of respondents from La Cote d`Ivoire and 23 others representing 76% of the respondents from Ghana, practised directional felling. There was no information relating to this from the respondent from Togo. Thus, as far as directional felling was concerned, 42 percent of the respondents from the Central African sub-region and 69 percent of those from the West African sub-region attested to the use of this harvesting technique. n. Post-harvest regeneration survey On Post- harvest regeneration surveys, all the four (4) respondents from Cameroon; two (2) in Gabon, one (1) in the Republic of Central Africa, and also one (1) in Congo, undertook this type of surveys in the Central African sub-region. In the West African sub-region, three (3) of the respondents in La Cote d`Ivoire; 27 companies or 90 percent of the respondents in Ghana, and also the only respondent from Togo, confirmed that they undertook this type of survey. Thus, in the African region, 42 percent of the respondents in the Central African sub-region as against 86 percent of the respondents in the West African sub-region, undertook post-harvest regeneration surveys. o. Regeneration system In the Central African sub-region, three (3) respondents from Cameroon, and four (4) from Gabon, depended on natural regeneration, as means to rejuvenate such logged over forests. While 2 of the respondent from the Republic of Central Africa, depend on natural regeneration, one of them indicated that she undertook replanting for plantation purposes. In the case of the respondents from Congo, five (5) or 71 percent of them, depended on natural regeneration, with one respondent in this group combining it with enrichment planting. In the West African sub-region, of the five (5) respondents from La Cote D`Ivoire, one enterprise depended solely on natural regeneration, another depended solely on enrichment planting, while a third enterprise depended on replanting for the purposes of plantation. Additionally, one other enterprise combined enrichment planting with replanting for the purposes of establishing a plantation.
Sustainable Management of Tropical Forests – Private Sector Experiences The respondent from Togo, basically undertook replanting in the planted forest as well as establishment of plantations. Of the 30 respondents from Ghana, eleven (11) or 36 percent of them, depended solely on natural regeneration; four (4 ) or 13 percent of them, depended solely on enrichment planting, and one of them depended just on replanting for plantation. On the other hand, nine (9) of them, representing 30 percent of the respondents, combined natural regeneration with enrichment planting, while one of them combined all the three regeneration systems namely, natural, enrichment planting and planting for plantation purposes. While a majority of the enterprises, representing 65 percent of the regional respondents, depended on natural regeneration, a few others depended on this in combination with enrichment planting as well as replanting for the purposes of plantation establishment. p. Other forms of silvicultural treatments In a range of options which included climber cutting, cleaning, tree girdling, etc, as representing other forms of silvicultural treatments, almost all of the Central African sub-regional respondents, provided no information on their application, except for one enterprise, who indicated that she undertook silvicultural treatment studies. For the countries of the West African sub-region, one (1) of the respondents from La Cote d`Ivoire, depended only on climber cutting; while another also undertook cleaning only, and a third enterprise, practised tree girdling. Two others, indicated they combined some of the treatments, such that in one case, climber cutting with tree girdling, and in the other cleaning with replanting the logging trails and landings which were created. The respondent from Togo, combined, climber cutting and cleaning activities. With reference to the respondents from Ghana, two (2) enterprises undertook just cleaning activities; two (2) others undertook just tree girdling activities, while sixteen (16) others combined cleaning with tree girdling activities, with some other two (2) enterprises combining climber cutting with tree girdling. One other company, combined climber cutting, cleaning and tree girdling activities. Most of the respondents from the Central African sub-region did not appear to apply these other forms of silvicultural treatments, in their operations, while those from the West African sub-regional countries applied such treatments either in isolation or in combination. Significantly, the responses on the use of these silvicultural management tools, as a basis for conducting forest operations, as considered above, have indeed indicated varied forms of implementation strategies. Naturally, enterprises would vary in terms of emphasis and details as far as the application of these tools are concerned. However it should also be possible, under each situation to rationalise the use of such tools against a certain minimum standard, which is considered acceptable to other relevant stakeholders in this sector. Given that, silviculture is the application of scientific principles of forest ecology to increase the utility value of a forest, then its expression in terms of implementation at the level of these enterprises, seems to reflect a great deal of diversity. From the point of view of these responses, the elements contributing to sustainable forestry practice as acknowledged at the enterprise level, appears to be characterised by many forms of interpretations. Particularly notable, are the practical relations between issues, which are related especially to the availability of management plans, their planning horizon and consistency with the ITTO guidelines leading to sustainable forestry. For example, where a management plan for a natural forest concession is documented as having a planning horizon of say one year, most of these silvicultural management practices such as those reviewed above, would scarcely be of much relevance in relation to their implementation in most of he operations of such enterprises. Though such a document, could still command a certain use value as far as the enterprise is concerned, its contribution to the realisation of sound management practices by all standards, would be quite low. Under such a planning horizon, the enterprise will have very little to show, as well as manifest any form of consistency with most of the core elements of the ITTO guidelines relating to sustainable forestry.
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Sustainable Management of Tropical Forests – Private Sector Experiences 5.1.7 Research and Development In reference to research and development, the enterprises activities relating to both in-house studies and externally funded projects were explored. a. R&D activities The extent to which the respondents were engaged in R&D activities in their forest concession, were as follows: Two (2) respondents from Cameroon as well as Gabon indicated that, they undertook R&D activities in their concessions. In the Central African Republic, only one of the enterprises undertook R&D activities. For Congo, R&D activities were undertaken by two (2) of the respondents. In the Central African sub-region, 47 percent of the respondents undertake R&D activities, while 26 percent did not undertake such activities. For the West African sub-region countries, three (3) respondents from La Cote d’Ivoire, undertook R&D activities. The only respondent enterprise from Togo, also undertook R&D activities in her concession. For Ghana, 25 out of the 30 enterprises representing 83 percent of the respondents indicated that they undertook R&D activities. In the West African sub-region, therefore 81percent of the respondents undertook R&D activities with 17 percent of the respondents were not involved in any R&D activities. As a region, 69 percent of respondent in the African region were engaged in R&D activities in their forest concessions, with some 20 percent not engaged in any such, activities. b Externally funded projects All the respondents from Cameroon had externally funded projects in their concessions. There were 2 (two) enterprises from Gabon or 40 percent of the respondents, who confirmed that there were externally funded projects in their concessions. For Central African Republic, only one of the respondents, confirm that there was an externally funded projects in her concession. There were three (3) companies, representing 43 percent of the respondents from Congo, with externally funded projects in their concessions. In the Central African sub-region, there were 52 percent of the respondents with externally funded projects in their concessions In the West African sub-region, none of the respondents from La Cote d’Ivoire, had any externally funded project in her concession. The respondent from Togo indicated that there were externally funded projects in her concession. For Ghana 3 of the enterprises, had externally funded projects with 23 others representing 73 percent indicating the absence of externally funded projects in their concession. Thus, for the West African sub-region, there were 11percent of the respondents with externally funded projects in their concessions. On a regional basis, there were 25 percent of respondents in the African region with externally funded projects in their concessions. The undertaking of R&D activities in the forest concessions of the enterprises, require substantial efforts and financial support. These requirements have often served as a major disincentive for a lot of enterprises in this sector, although the response received indicate otherwise. With over 65 percent of respondents in the region as a whole, engaged in R&D activities, but only 25 percent deriving support from external funding, the enterprises appear to be increasingly initiating and sustaining their own efforts as far as R&D activities are concerned. For most of these enterprises, the intensity and magnitude of implementation of any of such studies as an R&D activity, is in most cases influenced by the availability of finances, usually exterior but not always, to the enterprise. The objective could be to achieve a product-type factory oriented R&D activity, which is aimed at solving a problem or improving its outlook. This is usually of short to medium term duration status and
Sustainable Management of Tropical Forests – Private Sector Experiences depending on whether the product is a ‘cash-cow’ or has the potential to be one, resources are made available in order to eventually increase the profitability of the enterprise as a whole. Beyond the factory premises, most R&D studies seem to concentrate on issues that could eventually improve harvesting of timber, and also the general management of the forest. Such studies have sometimes been facilitated through variously arranged collaboration activity between the enterprises and a donor agency or a development partner. On the other hand, as a region with forests, which is highly rated for their biodiversity, the governments have in most cases been the prime initiators of projects that seek to understand this resource base better. Additionally, collaborators seem to identify much more easily with governments for the financing of such R&D activities. 5.1.8 Knowledge about C&I, minimum acceptable standards Some aspects of the knowledge base of the enterprises with reference to the application of criteria and indicators, as currently recognised tools for defining, assessing and monitoring progress towards SFM, as well as the use of minimum acceptable standards, were as follows: a. Minimum acceptable standards (C&I) In the Central African sub-regional countries, two (2) respondents from Cameroon and 3 of the respondents in Gabon indicated, that they followed minimum standards in the form of C&I. One of the company indicated that, these standards were based on the criteria of Keurhout, another company indicated that these were based on the PC&I of the ATO, but the third company declined to indicate the reference to the standards she is applying. In the Republic of Central Africa, while one of the respondents, indicated that there were no such minimum standard for managing her forest, the others were silent on this. For Congo, two (2) of the respondents indicated the non-existence of any such standards, while one respondent confirmed that, her standards were based on the ITTO C&I, but the 4 other respondent companies were silent on this. For the West African sub-regional countries, three (3) respondents in La Cote d’Ivoire, indicated that their management activities were based on minimum standards which range from codes of practice as set by the country’s Forest Management Organisation (SODEFOR), and other prescriptions, as per a ministerial document, but the rest were silent on this requirement. Almost all the respondents in Ghana (29 in all) who provided information on this, indicated that the minimum acceptable standards were based on the ‘Logging Manual on Ghana’s Forests. In addition, two (2) enterprises also, indicated that their management practices were based on the ‘Ghana Forest Management Certification Standards and Checklist’ document. The respondent company from Togo was silent on the availability or not of any such thing as minimum standards. b. Forest concession certified While at the on-set of this study, there was just one (1) enterprise with a certified forest concession in Gabon, the study witnessed yet another enterprise, with a concession certified. Thus, two of the enterprises representing 40 percent of the respondents, have forest concessions, which are certified. There was none of the respondent enterprises from the Central African Republic whose forest concession was certified. Although there was also a company from Congo, who had a concession, which was certified it was indicated that, this had been withdrawn. For the Central African sub-region, 11 percent of the respondents, all of them from Gabon have certified forest concessions. In the West African sub-region, although an enterprise in La Cote d’Ivoire had the impression that the plantation forest of the state forestry organisation in which she was operating was certified, this was not the case. None of the enterprises in Togo and Ghana have their concessions certified.
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Sustainable Management of Tropical Forests – Private Sector Experiences For the African region as a whole, 4 percent or just two of the respondents have their forest concessions certified. c. Intention to undertake certification Of the five (5) respondents from Gabon, three (3) of them intend to undertake forest certification. In the case of the Central African Republic, one of the respondents, expressed her intention to undertake forest certification, while five (5) of the respondents in Congo, also indicated their intention to undertake forest certification. In the Central African sub-region, some 60 percent of the respondents expressed their intention to undertake forest certification In the West African sub-region, one of the respondents from La Cote d’Ivoire, intended to undertake forest certification, with eight (8) other companies from Ghana also expressing this same intention. Thus in the West African sub-region, some 30 percent of the respondents intended to undertake forest certification. For the whole African region, 35 percent of the respondents intended to undertake forest certification. d. Year proposed for certification Of the four (4) respondents from Cameroon, two (2) proposed the year 2004 and another enterprise proposed 2005. Two companies from Gabon indicated 2002, while a company from Congo also intended to undertake certification in 2002. Other respondents from Congo indicated 2003 and 2006. There was total of five (5) respondents from the Central African sub-region, who indicated the year they intend to undertake certification. In the West African sub-region, only one of the respondents from La Cote d’Ivoire indicated her intention to undertake certification in the year 2003, while the rest were silent. Although, currently there about nine different processes and initiatives on C&I, for most of the countries in this study the relevant sets appear to be those of the ITTO and the ATO. With specific reference to the knowledge of Criteria & Indicators, and perhaps how this was used to influence the management of their forest concessions, the trend in response was characterised by more silence through avoidance by the enterprises. While only 6 out of the 19 respondent enterprises in the Central African sub-region, chose to respond, only three (3) of them credited this knowledge principally to the ITTO set, which was followed by the ATO set. For the West African sub-regional country enterprises, and more especially Ghana, what seemed to feature more prominently was the C&I which formed the basis for the Ghana Forest Management Certification Standards. As regards minimum standards, most of the respondents in the other countries referred to various codes of practices and the national laws as the basis for their minimum standards. The impression gathered is that perhaps the message of C&I has all this while been targeted more to the forestry authorities of the various countries, with little attention to the other stakeholders, especially the private enterprises. Though it is on record that in the course of the development of the ATO Principles, Criteria and Indicators over the years, which was based on field tests conducted in selected forest concessions of some of the enterprises, which took part in this study, there appears to be little to reflect this knowledge. This might perhaps be due to the rather centralised and academic approach adopted, through the use of mostly, forestry authorities for those tests at that time, which did very little to encourage the private enterprise to appreciate as well as use these tools. Subsequently, their application as the basis for standards, to be applied and followed in forest management activities at the level of the enterprise, as far as the region is concerned, appears to be more or less in the introductory phase. Currently, much as some project activities initiated by the ITTO, are aimed at decentralising the approach and to facilitate the application and use of C&I at the enterprise level, sadly, most of the enterprises do not seem to know that in fact as far as the relevant C&I sets for the management of African natural tropical forests are concerned the ITTO C&I and the ATO PC&I have been harmonised into a common set of PC&I, to facilitate its use since August 2001. This situation calls for a more proactive
Sustainable Management of Tropical Forests – Private Sector Experiences response from both the ITTO and the ATO, such that in concert they can direct activities relating to the creation of awareness and use of the harmonised PC&I by the African member countries more effectively. 5.1.8 Socio-economic sustainability vs. environmental sustainability. etc A major socio-economic challenge faced by most respondent enterprises, relates to the control of areas allocated for harvesting and the optimum use of such forest resources to generate benefits. This is reflected in the extent to which most of these enterprises crave for large forest resource holdings, as typified by the enterprises from the Central African sub-region. As to whether they are using such resources, effectively to ensure the socio-economic sustainability of both the enterprise and other relevant stakeholders, appear to a large extent to be relative. As in most case, this could be subjective or objectively, depending on which view point and stakeholder is undertaking the assessment in question. On the other hand, it is also important especially for the countries especially, who in most cases own the forest resource, to pinpoint or identify clearly forested lands designated for logging and those earmarked for other uses, such as conservation and other environmental functions. Where this is strictly ensured, the resultant sustainability index, which will be at stake cannot be compromised. More often than not, the central problem about the concept of forest resource sustainability is how to strike a balance between the level of resource use and its conservation, that would ensure or result in a much higher level of development. How this can be achieved, continues to be a subject of much discussion and debate. The issues about environmental conservation and the wise use of forest resources, are variables on the opposite sides of the same sustainability equation, being pursued essentially by the same or other stakeholders including the private sector enterprises. Some examples of the relevant socio-economic and environmental issues explored at the level of the enterprises, which directly or indirectly contribute to the realisation of sustainability, included the following. a. Services offered by the forest concessions Most of the respondent companies acknowledged that their production forest concessions offered a range of services in the form of conservation, wildlife refuge and protection as well as education. b. Local communities living within/around forest concessions All the respondent enterprises in both the Central African sub-region and the West African sub-region, confirmed the ever presence of local communities living either within or around the vicinity of the forest concessions. Such a strong visible presence of human interference in the concessions, tend to have either positive or negative effect on the sustainability picture such forests. c. Shooting and Hunting in the concession While, there was just one of the respondent enterprise in Cameroon, Gabon as well as the Central African Republic, affirming that shooting and hunting were permitted in the forest concession, all the others indicated that these activities were not permitted. In Congo, five (5) of the enterprises representing 71percent of her respondents allowed shooting and hunting in their concessions. In the West African sub-region: while one of the respondent enterprises from La Cote d`Ivoire permit shooting and hunting. For the enterprises from Ghana, some ten (10) of them representing 33 percent of her respondents permitted shooting and hunting. As a region, 42 percent of the respondent enterprises in the Central African sub-region, and 36 percent of those from the West African sub-region permitted shooting and hunting. d. Biological Diversity conservation areas In the Central African sub-regional countries, all the four (4) Cameroonian respondents, three (3) of the
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Sustainable Management of Tropical Forests – Private Sector Experiences enterprises from Gabon, and all the three (3) respondents from the Central African Republic, had areas in their forest concessions for the conservation of biological diversity. Additionally, four (4) of the respondents from Congo also had biological diversity conservation areas. For the West African sub-regional countries, four (4) of the respondents from La Cote d`Ivoire; the only respondent from Togo; and 25 respondents from Ghana, all had areas reserved for the protection of biological diversity. For the purposes of achieving biological diversity conservation in the region, 74 percent of the respondents in the Central African sub-region and 83 percent in the West African sub-region, had areas in their forest concessions for this. e. Endangered species in concession There were three (3) out of the four (4) respondents from Cameroon and two (2) enterprises, from Gabon, who indicated that there were endangered species in their concessions. For the Central African Republic, only one (1) respondent had endangered species in the concession. For Congo, three (3) respondent enterprises attested to the presence of endangered species in their forest concessions. In the West African sub-regional countries, two (2) respondents from La Cote d`Ivoire, had endangered species in their concession. The respondent from Togo, acknowledged that there were endangered species in her concession. A total of nineteen (19) enterprises, representing 63 percent of the respondents from Ghana, confirmed that there were endangered species in their forest concessions. f. Court cases on forest law violation(1999-2000) In the Central African sub-region 84 percent of the respondent companies had no court cases against them; only 5 percent of them indicated that they had cases of that nature in 1999. The situation for the year 2000 was quite similar, but with a slight reduction in the numbers, 78 percent with no court cases but the same 5 percent having court cases. In the West African sub-region, 86 percent of the respondents did not have any court case on forest laws violation while 8 percent had in 1999. For the year 2000 some 92 percent of the respondents had no such cases with only some 3 percent recording such cases. Perhaps the above issues and the responses as received from the enterprises can only provide part of the story in the determination of what would constitute the sustainability of the forests of these enterprises 5.2 The Second Stage of the Survey (QS2) Case Analysis On the basis of the total responses received from all the enterprises who participated, an analysis of the responses were undertaken, with a view of identifying some of their specific and special attributes, which were of relevance to the project’s objectives in promoting the sustainable management of tropical forests. For the African region, out of the total of the fifty-five (55), Q500 responses received from the seven (7) respondent countries, an enterprise was selected from each of the countries on the basis of a two-stage screening criteria. The initial appraisal and screening, was done according to the criteria below: • • • • • • • • •
Provision of training and adequate company facility; Negligible accident rate Provision of a sustainability enhancing service(s); Recognition of an annual allowable cut (AAC); Undertaking of post-harvest regeneration surveys; Following of a regeneration system; Conducts silvicultural treatment(s); Prohibition of shooting and hunting; Permitting local communities controlled access in the concession;
Sustainable Management of Tropical Forests – Private Sector Experiences • • • •
Provision of employment to the local community members; Negligible court cases involving the violation of forest laws between 1999 and 2000; Undertaking of R&D activities; Contemplating forest certification or forests already certified.
Following from the above screening, the enterprises were further reviewed according to the criteria, which included: the appropriateness of technologies in use; social responsiveness; environmental commitment and economic returns. The results of this selection process, identified the following enterprises as the possible candidates for the QS2 stage of the study on case study analysis. • • • • • • •
Congolaise Industrille des Bois (CIB) of CONGO; Industrie Forestière de Batalima (IFB) of CENTRAL AFRICAN REPUBLIC; Groupe Rougier of GABON; Transformation de Bois Ivorien (TBI) of LA COTE D’IVOIRE; Samartex Timber & Plywood Ltd. Of GHANA; Office de Developpement et d’Eploitation des Foret of TOGO; Groupe Vicwood THANRY (SEBC) of CAMEROON.
There is a need to clarify here that, although in some of the countries, there were more than just one enterprise that merited selection, the decision based on the selection criteria limited this choice to only one enterprise. Out of these seven selected enterprises following from the Q 500 survey, the two enterprises from Cameroon and the Central African Republic unfortunately, did not want to be part of this case study analysis, hence leaving the five others to form the core set of enterprises covered in this case study analysis. 5.2.1 Scientific Forestry vs. Objectives of Private Sector Investment. The objectives of scientific forestry, are in most cases directly linked to those of sustainable development, in as much as they seek to reconcile optimum ecological, economic and social conditions and concerns relating to forests management. By emphasising the need for the rational use of forest resources to be in harmony with the rate of growth, scientific forestry and its methods continue to impact and affect the various individual activities, which characterize the operations of the private sector enterprises in the African region. At the level of the enterprises operating in the tropical African forest areas, there are increasing proactive demonstrations of the promotion, introduction and use of scientific forestry methods and practices, as a new reference point in most of their activities. In this regard, there has been a continuing need to improve and refine harvesting systems and their practices so that they become compatible with the objectives of the concept of sustainable forest management. Some of the specific elements that scientific forestry has increasingly highlighted on as far as the ensuring of sound forest operations are concerned include: - ecosystem approaches that integrate the conservation of biodiversity and the sustainable use of biological resources; - appropriate participatory mechanism involving all relevant parties interested in the forest resource base; - recognition and respect for customary and traditional rights and a secured land-tenure arrangements; - adequate provision and valuation of forest goods and services. It is against this background, that some of the objectives relating to forest enterprises, which were more or less skewed towards the realisation of profits, wealth and the owner’s business worth and aspirations, have had to be modified to take cognisance of some of the above provisions.
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Sustainable Management of Tropical Forests – Private Sector Experiences In all the 5 enterprises that willingly participated in the stage two of the study, there is enough evidence to show that there is an expressed commitment to embrace the new requirements of scientific forestry practice, in the way things have been done in their respective operations previously. However, the extent of the expression of this commitment, seems to vary from one enterprise to the other, in terms of the scale of investment and operation, its historical development, the markets to which she sells her products, the international image acquired and the extent to which the forestry authority concerned is implementing any of these principles or enforcing them in the country. In the cases that have been presented here, the enterprises have ranged from those who have been able to make tremendous progress in merging these new requirements of scientific forestry with the original objectives of their businesses, to those who seem to have made little or no progress in incorporating these principles in their ways of doing things. In most of the cases of enterprises that seemed to have chalked some measure of success in this endeavour, consultants have been used to improve the previous situation to a very large extent. Although in some other cases the original mandates and objectives still seem to be the rule, there are enough indications and also attempts at modifying their current systems of operations. The latter situation is very much influenced by the level of preparedness of the forestry authority to sensitise, incorporate or enforce such principles under their respective national mandates, such as through policies and operational prescriptions to serve as a reference base to such enterprises. The detailed case studies of the five of the selected companies who kindly consented to participate in this study are in the pages of the appendices, however some of the aspects of the cases are discussed below. 5.2.2 Brief Characteristics of the Case studies Some of the important characteristics of the case studies on the five companies, are discussed in this section in terms of their observed strengths, weaknesses, issues of major concerns, constraints, investment environment and governance issues (see figure 5.2 for their locations in the respective countries).
TBI – Transformation des Bois Ivorien SAMARTEX - Samartex Timber & Plywood Limited L’ODEF - Office de Developpement et D’exploitation des Foret CIB- Congolaise Industrielle des Bois
FIG. 5.2. A Regional map of Africa showing the location of the five case study companies
A. CONGOLAISE INDUSTRIELLE DES BOIS (CIB) Some of the identified major strengths of this enterprise are as follows: This company, which is located in north of the Republic of Congo, has a long operational experience as well as enormous political good will in this country.
Sustainable Management of Tropical Forests – Private Sector Experiences It is part of a bigger international group Hinrich FELDMEYER-tt Timber International. By all standards it is quite a large scale operation, whose current size and status, is as a result of acquisitions of other companies which were going into liquidation, followed by their restructuring and further development into one business entity with a common objective. The company functions from four operational sites, namely Pokola, Kabo, Loundoungo (Ndoki-1) and Toukoulaka (Ndoki-2) forest management units. One of these sites-Pokola, has a well established and comprehensively developed infrastructure, serving as the headquarters and hub for the coordination of this enterprise’s activities. The forest concession holdings of this company total up to 1.3 Million hectares, with the forest type made up of mostly dense moist ever-green forest ecosystems of varying degrees of canopy formations. With two of these forest concessions having a common boundary with the Nouabale-Ndoli National Park, the company has developed in collaboration with the government and other partners various wildlife conservation protocols and activities. All harvesting operations are based on a selection type of felling, which derives a lot of its strength from experiences acquired and observations made over several years of operation, to the extent that the company’s harvesting decision, is guided by its own developed rules, such as not to fell more than 2.5 tree stems per hectare of forest. Some of these internal rules appear to be more demanding than the statutory prescriptions. The company respects all the silvicultural prescriptions and national laws regarding forestry and also CITES listed species that are forbidden in the timber trade. She complies with the approved annual allowable cut limits set by the Congolese forestry authority. Most of the trees, which are harvested are well above the prescribed minimum diameter limits. The enterprise has in place a forest inventory team to facilitate data collection on the forest resources as a currently on-going activity. Felling as an important silvicultural intervention, in the management of the company’s natural resources is well coordinated through the use of modern planning equipments and methods for stratification as well as the use of reduced-impact logging techniques. Training in reduced impact logging techniques is provided to the felling crew and their progress with reference to productivity and minimisation of environmental impacts are monitored periodically. There is a full complement of mechanical harvesting devices; a well equipped road construction and maintenance team and the observance of silvicultural prescriptions relating to both pre-harvesting and harvesting operations. The enterprise has also developed an elaborate logging residue utilisation programme that ensures that logged-over forests are cleared off much of the debris from such operations, in order to avoid the occurrence of forest fires. Most of the activities relating to post-harvest regeneration, is jointly being studied by a newly established specialised parastatal organisation- L’UPARA (the Pilot Management, Reforestation and Agroforestry Unit) and the company. They are engaged in trial regeneration plantings. The enterprise’s harvested roundlogs are either directly exported or are distributed between five sawmilling installations for processing. There are other value-addition plants in the form of kilns and moulding mill facilities. The enterprise has developed an elaborate system of river and road transportation systems, which are networked together, depending on the markets being served at any particular time, to ensure an efficient delivery of her products both to the export and local markets. The operations of CIB is sustained by a well developed export market. In collaboration with the ITTO and the Keurhout Foundation, the company seems to be well grounded on issue relating to criteria and indicator for the sustainable management of tropical forest and sustainable forest management standards leading to certification. The CIB has quite a comprehensively developed products’ research and development program to meet the needs of the markets that they sell to. In the area of human resources development, the CIB with a manpower strength of over 1665 personnel, has in place a code of ethics convention and a negotiated collective agreement for the workers well in place. She has a trade school for developing the skills of the workers in addition to an on the jobtype of training which it offers to her workers. Under a workers protocol agreement the CIB, provides them
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Sustainable Management of Tropical Forests – Private Sector Experiences with a welfare package on education of their children; provision of housing, electricity and water, free of charge; health, sickness and hospitalisation benefits; family fringe benefits and a bonus system of remuneration. With reference to socio-economic contributions, since the current social capital of CIB, is quoted as being in the range of 2 070 000 000 FCFA, which finds expression in the servicing some 10 000 inhabitants of Pokola, 2 500 inhabitants of Kabo village, about 1 800 inhabitants in both Ndoki II &II villages, the commercial activities of the company seem to be well integrated and supportive of the social structure created. The company has provided infrastructure for sports development and sporting programs. Her road maintenance activities, which stretch up to the border of Cameroon support various forms of social and economic activities. There are well coordinated alternative livelihood activities, designed to shift the attention of the local population from forest degradation and shifting cultivation initiatives, and others including hunting. With reference to contributions to National development, apart from the taxes and other statutory contributions, she provides office space, accommodation, furniture,, clinics and drugs, etc. both for the people and for state organisations who have to operate in this part of the country, including the forestry authority, customs, post and telecommunication and police. In its attempt at ensuring environmentally wise operations, especially in her forest operations the enterprise tries as much as possible to recover as much of her used oils as possible in order not to pollute the environment. In collaboration with an environmental non-governmental organisation, Wildlife Conservation Society (WCS), of the USA and the Ministry of Forests, a partnership has been developed to manage a national park, which was created, partly out of some of the concessions of CIB. Additionally, with the WCS, ITTO and Forestry authority as partners, these organisations have established an ‘ecoguard’ system, which consists of trained people who patrol around the forest roads to control poachers and hunters of the forest wildlife. Some of the observed major weaknesses in the enterprise’s activities include the long delay in the preparation of her management plans, the preparation of which seems to be currently on course. In a typical style to risks sharing in areas, where the core investment interests and objectives are challenged, the company has tended to depend on collaborative systems of approach rather than developing such competence in-house. This is typified in most of the post-harvest activities. Most of the harvesting operations are concentrated on a few species of timber, which could be a recipe for species depletion. A concentration on just a few species represents a narrow market focus including a weak domestic and regional market development. The enterprise does very little with reference to postharvest regeneration activities and has very little or no activity with reference to NWFPs. Her R&D activity in relation to forest silviculture does not seem to be a priority. Some of the major issues of interest include, principally the role that has to be played by this enterprise, in relation to administering and management of forested land, which belongs to the state, but are currently, only been contracted to the company, perhaps for the life span of the investment. With the closed forests of Congo covering approximately some two-thirds of this country’s land, which is in the range of 22 million ha, and serving as the second major source of economic livelihood for the country after petroleum, the government has endeavoured since 1974 to adopt forest management and harvesting systems as well as approaches, that are based on large scale forest concessions with 30- to 40year rotation in order to principally safeguard the sustained production of timber. The Nouabale-Ndoli National Park, which is 390 000 ha in size and managed by the Ministry of Forest and the Wildlife Conservation Society (WCS) is quite a recently created resource, which has had tremendous impact on the forest management practices of this enterprise. In order that its wildlife management and integrity is not compromised, since some of the company’s forest concessions share a common boundary with it, a well developed framework for collaboration and coordination between the enterprise especially, and all the relevant stakeholders has been developed to ensure a more comprehensive approach to ecosystem management and their biological diversity conservation.
Sustainable Management of Tropical Forests – Private Sector Experiences Essentially, such a collaboration between the company and the Ministry of Forests and others as developed in July 1999, set up a project for the ecosystem management of the peripheral zone of the national park (PROGEPP), and also detailing the responsibilities and obligations of each of the parties. The Ministry of Forests and the WCS are responsible for implementation, management and supervision of the project, while the company provides logistical support. Despite the very good intentions of the Congolese government as far as ensuring the sustainable management of her forests, including those contracted out as concessions to enterprises such as this, the practical reality of problems relating to long distances and the lack of personnel and resources for enforcement of the legal provisions and monitoring of the policy objectives, have resulted in an almost total reliance on the magnanimity of enterprises in ascertaining these. Such serious setbacks and challenges to the enforcement capabilities of the resource owner, appears to have prompted the development of some innovative mechanisms such as those that relate to the four main components of this project. These include research, conservation awareness and education, alternative livelihood activities and wildlife protection. The research component of this partnership approach to the management of the forests including those of this enterprise involves wildlife inventory through ecological surveys; socio-economic monitoring of human populations, the monitoring of hunting activities and the trailing of entry points for bush meat consumption; and the monitoring of the activities of large mammals. Under the conservation awareness and education component, activities such as creation of children’s nature clubs, teacher training and the organisation of village meetings on concepts derived from the Congolese law on hunting as well as the promotion of alternative livelihood activities, with the view of eliminating poaching tendencies. The alternative livelihood activity component includes the development of cattle supply links from Cameroon and the Central African Republic; development of fish farming in Pokola including the creation of 18 tilapia basins; provision of technical assistance and support to local and traditional poultry breeders and the development of broiler breeding; assistance to fishermen, and the development of pilot breeding schemes on rabbits, agate, snails etc. The wildlife protection component derives its strength from the Congolese law dealing with subsistence hunting. This is based on the ban on the hunting of fully protected species of mammals such as elephants, gorillas, chimpanzees, bongos etc, on the one hand and a ban on the use of wire snares. The project in consultation with the company and the local population has designated various hunting zones in the forest concessions as well as protection zones and also introduced a ban on the transportation of game from any one of such designated site to the other. Accordingly, access rights to any zone is controlled by means of authorisation and an identification developed for hunters who are registered and recognised by the Ministry of Forests of Congo. The protection of wildlife in these forest areas is generally ensured by teams of ecoguards. Such ecoguard teams are led by technical officers from the Ministry of Forests and people recruited mostly from the local communities after receiving some paramilitary training. The company in its compliance letter of June 1999, has provided the infrastucture required for the project. Also included was a fundamental obligation to review the company’s internal regulations to include wildlife management principles. This revision required several months of negotiations between the company’s unions and the sub-regional trade union group resulting in an agreement in December 1999. This enterprise also needs to intensify her product R&D activity in order to find other profitable products. Additionally, the company’s image with reference to some internationally based ENGOs, appears to be a cause for concern, as was portrayed during the company’s efforts at certifying her forest management activities. Hence, there is a need to improve her image in relation to such environmental issues internationally and to create the right perception in the minds of the relevant stakeholders. Some of the identified major constraints to the company’s operations include the place and location of the company relative to her markets. The slow pace at which some of the local populations and tribesmen tend to collaborate with the company in her forest operations.
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Sustainable Management of Tropical Forests – Private Sector Experiences The long road networks, which is over 1300km, for both conveying and maintenance, before reaching the local market or the port of shipment of products. Others include the seasonal nature of the level of the river which therefore affects water transportation of products, and the security problems associated with the transportation of the products. As some portions of the concession has been turned into a national park, such resource are not available any longer for logging operations. The investment environment of the company is quite picturesque of an enterprise that seems to be growing from strength to strength as portrayed by the growth in its manpower strength between 1998 and 2002, which shows over 50 percent increase. On governance, CIB seem to enjoy the goodwill and collaboration from the forestry authority in Congo as well as other development partners, who are assisting with the implementation of certain projects in the forest concessions of the company. B. SAMARTEX TIMBER & PLYWOOD LTD – GHANA This privately owned company, located in the Western region of Ghana, can be described as a large- scale operation by Ghanaian standards. The company inherited a long tradition of a sustained timber production activity from a previously well -managed company operation. Some of the major strengths of this company with reference to her various management activities are outlined below. With a forest management organisation being responsible for the development of the forest management plans of the company, this company extensively collaborates with this state organisation in ensuring the revisions and implementation of the prescriptions of these plans. The forestry planning activities are based on a forty-year felling cycle, as a result the forest concessions are grouped into suitable felling coupes. Each of the felling coupes is to be sustainably harvested for a period averaging five years. The system of silvicultural management of the forest is based on the selective felling concept, which derives its strengths from a predetermined annual allowable cut by the forestry authority. The forestry authority allocates the yield or the number of trees to be harvested based on a yield selection formular. The determined yield as allocated to the company, is complied with to a large extent, as in most cases its monitoring usually involves a joint collaboration exercise between the authority and the company, and it also serves as a basis for training and capacity building. In order to ensure a sustainable supply of tree resources, the company augments the regeneration activity with enrichment planting activities in almost all the harvested compartments. The company on the average achieves a round log harvesting volume requirement of 10 000m3 per month. This includes purchases from contractors who offer some round logs for sale to the company. All the harvesting operations are guided by the prescriptions of the Ghana Manual of Procedures for Forest Management, which the company complies with. Most of the company’s logging residue as well as mill production residues are effectively utilised in the production of electricity to run almost all the production activities of the company. Some of the appropriate residues generated are channelled into the production of wood carvings. The company has a complement of an appropriate as well as the required logging and harvesting machinery and equipment to effect and ensure a reduced impact operation. With the benefit of a variety of primary and secondary processing mills, ranging from: a curls processing mill; both sliced and peeling veneer mills; sawmills, plywood mill; moulding mill and a wood carving centre, the harvested roundlogs are sorted out to suit the best end-use application purpose. The company has diversified into agro-forestry activities, as well as the processing of some of some of the NWFPs that occur in her concession. In a collaborative R&D activity with a Germany based firm, the company is developing a sugar free beverage sweetner from a forest tree species, which is quite abundant in her concession. Most of the company’s agro-forestry activities, which are in collaboration with the local communities, include the establishment of forest plantations.
Sustainable Management of Tropical Forests – Private Sector Experiences With reference to the use and observance of minimum forest standards derived from criteria and indicators, the company strictly implement most of the management operations as detailed out in the forest standards of Ghana. In this regard the company is making all the necessary efforts towards the realisation of forest management certification possibly under the FSC system. As regards her human resources development programmes, the company seems to exhibit a very strong commitments to the development of the capacities of both the local people and those within the company based on a selection process and sponsorship programmes. The skills of workers and the staff are subjected to constant review, in order to create opportunities for further training. The company has in place a well coordinated apprenticeship development programme in her trade school as well as externally. The staff and workers of the company, totalling 2350, are provided with free electricity and water; free medical care as well as free accommodation and school facilities in a form of a welfare package to improve the life of the personnel. The company in trying to accommodate and respond appropriately to the socio-economic needs of her mostly rural community, has prioritised the provision of education, health and the maintenance of the road networks in the area as her contribution to this aspect of the development need of the people and the area. She also provides and responds to some of the basic essential needs of some of the state organisations located in these areas. In the area of education the company grants scholarships for further training, as well as supporting the local hospitals with some input. The company supports alternative livelihood schemes, which are aimed at discouraging the people in engaging in shifting cultivation and other activities that can contribute to excessive forest degradation. Broadly, with reference to national development efforts, the company contributes to the payment of forest taxes in the form of royalties, concession rents as well as export taxes and levies. Her export trade activities represent a source of generating foreign exchange for the country. Environmental wise, most of the company’s protection measures seek to prevent the incidence of fire in areas including the forests and the application of low impact logging methods. She also takes steps to protect rivers and streams, by creating buffer zones in her operation. With reference to some of the real or apparent weaknesses that are striking about the company’s operations, it may be worth pointing out that, in a situation where the development of the management plans of the company’s concession is the legal responsibility of the state organisation but undertaken by the company, a lot of room could be created for compromises. Perhaps it is not enough to just cite the existence of the Ghana Manual of Procedures for forest management. With very little information provided on her silvicultural and related management activities, the document in the name of the Ghana Forest Management Standard, perhaps provides a protective veil against further scrutiny. More often than not, the acknowledgement of the existence of a document and the use and implementation of what it intends to do in the real life situation could very much be at variance. • Very little information is also provided about the biological diversity of the concessions and the conservation practices and systems employed by the company to protect or enhance their status. Wildlife protection and conservation measures in an area with so many communities and people ought to attract a lot of attention in the order of issues relating to sustainability of natural resources. In a majority of cases such situations provide the required recipe for hunting and poaching. Some of the relevant major issues of interest as far as the forest management operations of this company is concerned, relate to its geographical location. This company, which is located and also operates from forest concessions in the western region of the country, has among others a few of the remaining as well as little disturbed moist tropical ecosystems that Ghana can boast of. She operates from forest concessions of approximately 145 000 ha, most of whose boundaries have permanently been secured both on paper and on the ground by the forestry authority. Such operations could either take place in forest reserves, which appears to be relatively more secured or in areas outside such reserves where there are
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Sustainable Management of Tropical Forests – Private Sector Experiences some farming activities. Hence, more prone to disturbances from other people, other than the company itself. Despite the fact that the forestry authority is responsible for the development of the management plans of the concessions of the company, she also complements in the undertaking of management and harvesting inventories. In this collaboration as far as the management inventory is concerned, while the forestry authority determines the annual allowable cut on the basis of such data obtained, and hence ensuring that the company’s operations are on course, the company as well as the authority derives knowledge through the analysis of the data on the growth dynamics of especially the principal species. Although, within the contemporary legal framework as provided by the forest policy and the accompanying legislations, concessionaires such as this company has monopoly rights over especially the merchantable tree resources, the illegal harvesting of such timber by chainsaw operators has become a major problem to contend with. As explained by Amanor (1996), this informal timber sector in Ghana has always coexisted with the concession system, however the introduction of the chainsaw, opened up new avenues for such operators. Their activities have been on the rise as in most cases they have been preferred companions to concessionaires by both the village and farming communities. The reasons for this include the following: • they are considered as creating less damage on their farms than the concessionaires, since they convert the round logs to boards on site rather than hauling them away; • they perform useful functions in the rural areas through the felling of unwanted trees on their farms , or the prompt local processing of trees in to products; • they give both the farmer and local contractor some revenue and wood offcuts, in a mutually agreed and well recognised sharing arrangement. In a situation where the logging capacity of the existing companies far outstrips the supply of timber, and also with the ever increasing local demand for sawntimber products in the surrounding villages and towns, most chainsaw operators take advantage of various factors including the ability of high mobility to operate illegally in concession areas, where they fell trees without permits and convert them to sawntimber. The company as well as the forestry authority constrained by resources to control this illegal informal sector appears to be developing incentives and mechanisms to address this and others related issues. Another major constraint militating against the management practices of the company in her concession are the activities of migrant farmers, whose actions have usually been motivated and facilitated by the search for fertile lands which can be found in these virgin forests of the concessions. These constraints notwithstanding, the company seems to be seriously pursuing all available avenues to ensure that the forests concessions from where she operates are certified. C. OFFICE DE DEVELOPPEMENT ET D’EXPLOITATION DES FORET (L’ODEF) – TOGO L’ODEF, which is state-owned, is empowered by law to operate throughout the entire lands of the country. It was set up with state budgeted financial resources, and mandated by the state to pursue the objective of managing and improving the value of the nation’s forests; the exploitation and marketing of such products and by-products and the promotion and improvement of wood as a raw material to meet the nations demands. As an organisation charged with such a legal mandate, she is vertically integrated both backwards into plantation development and management, and forwards into processing and marketing of the plantation produce and associated products. She can receive assistance from and also collaborate with development partners in the course of trying to realise these objectives. Her operations derive from a follow up project which was reviewed, by both the FAO and the UNDP, and strengthened through technical training and the establishment of the requisite control mechanisms. Since 1971 that the government enacted the decree for this centralised system of operations, the organisation is currently on the verge of decentralising some of its activities, in order to facilitate more reforestation activities in the regions based on the participation of local people, and hence to achieve the annually set planting targets of 2000 ha.
Sustainable Management of Tropical Forests – Private Sector Experiences L’ODEF derived a lot of strength over the years from the establishment and management of nurseries as production systems serving as an input for her plantation development programme. Her seedling development and soil preparation activities for planting are based on silvicultural and management prescription that have been developed through experimentation and experience over the years. With some 10 000 hectares of gradually maturing planted forests to her credit, under climatic conditions characterised by quite low and sporadic rainfall, it is not surprising that she is seriously pursuing mechanisms, based on factors that can be manipulated better through time, such as joint activities with rural communities, to realise her set planting target of 2 000 ha per annum. The plantation development activities are concentrated around five species, with the principal species being Tectona grandis (teak). The plantations have management plans, which are reviewed every ten years. Based on the observed growth dynamics of the plantation species and the determined rotation ages for the five species, the organisation has prepared some predetermined production volume tables to guide the thinning interventions at intervals between 4 to 5 years. The L’ODEF has established an annual allowable cut of 13 500m3 of round logs from all her thinning operations, which is limited to an area between 50 to 300 ha per year. All forms of harvesting are controlled and monitored. Post harvest regeneration surveys are carefully conducted to facilitate as much regeneration as possible. All the plantations of L’ODEF have all the necessary documentation, especially in the form of the referenced maps. Harvesting trends between 1995 and those achieved now, depict an increase of nearly 180 percent in volume of wood harvested, with the quality of the industrial round logs/ saw logs of an average nature. The current diameter range of the saw logs vary between 14 cm to 60 cm., with all forms of harvesting activities guided by harvesting plans. Logging residues and rejects of any harvest resulting from the thinning operations are remanufactured to claim as much useful wood fibre as possible before being consigned to be classified as firewood. All the harvested produce either in the form of saw logs or round logs find ready end use application in the sawmilling facility of L’ODEF or are exported. The sawmill with an installed capacity of 8 000m3 of saw log input, is worked at about 62 percent of the installed capacity per annum and has a recovery rate of between 37 and 40 percent. All the products of the sawmill and those to which any form of value can be added are readily sold on the local market. The organisation exports about 8 500m3 of roundlogs from the total harvestings. For the present average quality of round logs, the organisation is enjoying a strong demand for her teak produce, at a price ranging from USD77 to 185 per cubic metre on the export market. The employees of the organisation consist of well- trained forest engineers and a complement of related staff, who are in charge of most of the management and technical functions. The operational activities are highly labour intensive as these mostly involve on-farm work. The organisation has tried to create alternative livelihood activities for the rural populations. The network of roads leading to and from the plantations, has contributed to linking up and connecting several villages to urban centres. L’ODEF has financed the provision of several social amenities, including the constructing and rehabilitation of clinics, wells, schools, etc. Under the taungya system of plantation development initiative, the organisation intends to improve the extent of people participation in her operations and also improve forest protection mechanism which are people centred. She is very strong in not allowing the use of uncontrolled fire in and around the plantations as well as permitting grazing animals in these areas. L’DEF as part of the forestry sector of the Togolese economy contributes, both to taxes revenues as well as the general economic performance of the country. On the other hand some of the weaknesses in her operations include issues relating to the management of the natural forests based on natural regeneration techniques, as most of her activities relate more to artificial systems of regeneration. Additionally the implementation and the use of criteria and indicators as a tool in the management and monitoring of activities of both the natural forest and the plantation forests she has set up, appears to be totally lacking.
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Sustainable Management of Tropical Forests – Private Sector Experiences In fact the forestry law from which she derives her strength is very old and needs to be revised to reflect the modern concepts in forestry. The extreme concentration on teak, as the principal species in the plantation development programme exposes the created forests to the woes, which could be associated with most single species types of forest plantation. Although there are other species, there are indications of a trend towards a mono-cultural system. The plantation species-mix does not seem to have much of indigenous tree species, and there seems to be very little activity towards the development of indigenous species for such plantings. The organisation appears to be satisfied with the level of knowledge acquired on management and the silvicultural prescriptions, and hence has very low activity in research and development. As most of the plantation development activities are generally labour intensive, but based on the consistent use of temporary labour without the introduction of mechanism to either regularise their activities or improving the conditions of engagement, the risk of inertia and subsequent sabotage to these efforts can not be entirely ruled out. The availability of wildlife and the level of biological diversity of these plantations in relation to the surrounding vegetations, continue to be a source of worry and these need to be studied extensively. A major constraint to the activities of this organisation, is on how best to implement the spirit and letter of the forestry law that requires constant sensitisation of the public, in a situation where the needed resources to do so are not readily available. Some of the relevant issues of interest relate to the general shortage of industrial timber, which this organisation is mandated to address on the one hand, through a mandate based on an outdated forestry code whose relevance in the light of present socio-economic circumstances, would require a major review. Additionally, on account of an ambitious environmental policy, which included measures for the protection of wildlife but apparently ignoring human needs and their social attachment to such forests, led to evictions of rural populations and hence contributing to the resultant misuse of such forested lands. Again, as a direct consequence of this environmental policy and forestry code, the forest administration was dominated by the interventions of Forest Police, hence most forestry officials were perceived primarily by people as enforcement officers, who were only concerned with enforcing bans. Thus, according to Gnamassou et al (1993), some of the people feeling the burden of these administrative controls, sought to take advantage of the privileges of the country’s democratisation process and decided to extend its cover to misuse such forests. The apparent lack of financial resource by the Togolese Forestry Administration and therefore L’ODEF, has affected most of the internal functions of the organisation, with the area of research and development activities in relation to forest management being seriously constrained It will appear that as a country, which is beset with much more severe climatic conditions relative to those pertaining in the neighbouring countries such as Ghana and La Cote d’Ivoire within the same subregional context, and the effects of the direct human assault on an already scarce forest resources, the option and choice for a state organisation such as L’ODEF, to be in charge of affairs was inevitable. However, it also seems that, in most cases the core interests of local communities did not always complement the long-term and long-lasting territorial development vision held by the foresters from L’ODEF. On record in order to facilitate this process and governance related issues, a proposed new forest Code, which is currently in a draft form and much more adapted to national environmental as well as the rural socio-economic realities, ought to go through the required processes to make it a functional document and thus relieving this 1948 document off its functions. These and other concerns bring to the fore the need for the implementation of a study on social auditing of the plantation programme so far, as well as an evaluation of the extent of participation, with reference to the local communities. The investment climate and situation, as orchestrated by a new orientation towards decentralisation and possible privatisation of L’ODEF’s functions, as well as promoting people participation currently, is relevant and germane for sustainable management of these forests. Further investments in biotechnology activities relating to tissue culture and root cutting techniques for the production of forest tree species are in fact required to improve the general outlook of this national venture.
Sustainable Management of Tropical Forests – Private Sector Experiences D. GROUPE ROUGIER OF GABON The company can be identified with a long history of a forest industry tradition in Gabon as she has been established in this business some 50 years ago here. It has a lot of goodwill and has grown over the years through the acquisition of other companies. But more especially, in the course of the last 20 years, the company’s industrialisation objectives, based on forest resources, have grown and deepened as she anticipated the numerous business opportunities provided by the vast tropical forest resources in the Congo Basin countries. This company is one of the subsidiaries of the Rougier Groupe of France. The group is also well established and represented in Cameroon, Central African Republic and the Republic of Congo. The forest concessions of the company are located on four operational sites and they total up to 600 000 hectares. The approved annual allowable cut for the company is set at 285 000m3. Of the total number of species harvested 85 percent of this is made up of Aucoumea klaineana (Okoumé), which is more or less one of the prime timber species in Gabon. The company is well integrated based on a veneer processing and a plywood manufacturing plant. This factory uses around 66 000m3 of Okoumé roundlogs a year to produce premium quality plywood most of which is sold on the export market. The company in recognition of the need to pursue a more responsible management of forest resources, contracted a consultancy firm- Forest Resource Management(FRM), of France to undertake a pilot study, leading to the establishment of a forest management section in the company to oversee all such activities. The consulting firm was also given the responsibility of providing technical assistance to all the groups subsidiary companies in the Congo Basin, on all issues of sustainable forest management. In this regard FRM has attached a full time forestry expert to the company to facilitate implementation of these principles. In the course of the development of the forest management plans of the concessions of the company, which covers a planning period of 25 year, the forest inventory studies conducted enabled the company to document the different types of forest vegetation formation and all the important biological diversity sites and hot spots. Others included the zoning of some significant mountain and archaeological site of interest that ought to be conserved and preserved. On the basis of all these activities and the findings made, various reference documents, relating the management prescriptions necessary for the achievement of a responsible forest management practice, which incorporates the principles of sustainable implementation have been prepared to guide the company. These include, forest management unit plans for harvesting purposes; five-year action plans; annual operational plans; management plans for the variously identified conservation areas and minimum standards for forest management based on criteria and indicators. The minimum standards document have their origins from the ATO-ITTO PC&I, Keurhout Foundation and those of FSC. On the strength of all these forest management activities, the company has had her forest operations certified. According to the company, based on her commitment to place her forest concessions under sound management practices, she commissioned consultants to review and set up activities,which would lead to a more responsible forst management practice. This process commenced with a management inventory and other socio-economic and complementary studies of the Haut Abanga and Ogooue-Ivindo forest management units. These activities provided the vital information for the preparation of a strategic forest management plan, which involved an analysis phase, the definition of objective and the identification of a series of activities required for the realisation of these objectives over a period ranging from 20 to 30 years. Some of the major details of the related core actions and objectives of the management processes as well as the projected limits involved are shown in Table 5.2 below. On the strength of the company’s business objective, she established her first core management objective based on production, as the sustainable maintenance of timber production, which will encompass the sustainability of the business venture and the sustainability of the forest and its timber resources. The core management actions, underlying this production series of activities consisted of inventory data collection; the modelling of the growth dynamics and the evolution of the forest stand and the determination of the parameters for the management of the production objectives. The developed models provided the
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Sustainable Management of Tropical Forests – Private Sector Experiences basis for the choice of management parameters prior for harvesting, and various post harvest situations. Some of the management parameters that were established, in the course of this period were: • • • • • •
Duration and length of rotation Minimum harvesting diameter List of primary or objective species Guaranteeing sustainability Calculating harvesting potential Planning in space and time.
Table 5.2. Definition of core management activities for the FMUs of ROUGIER-GABON’s forest concessions Core Management activity series Production
Sensitive Production- wetlands Biological Diversity conservation Protection Protection- banks of the Abanga Subtotal of the series excluding that on Production only Total of FMU
Area (ha)
%
Primary Objective
273, 984 94.9 Timber production
5, 232 1.8 Hydrological protection 414 0.1 Conservation of forests with high biodiversity 8,043 2.8 Protection of slopes and steep lands. Conservation of special ecosystems 954 0.3 Protection of the deep banks of the Abanga 14,643 5.1 Conservation of special ecosystems
Secondary Objective Conservation of the ecological functions and the biodiversity of the forest; Complementary studies and research Timber production Complementary studies and research Scientific research and the conservation of a control zone of virgin forest Scientific research
288,626 100
Source: From the study
Under these core management prescriptions and activities the proposed conservation and protection areas in the concessions was established to cover some 5 percent of the forest management unit area. The company has in response to the observations made in the pilot studies, established permanent sample plots to study some of the ecological trends of these forests, in order to among other things assist in the improvement of some of the silvicultural prescriptions so far recommended. Additionally, she has also commenced regeneration trials based on enrichment planting activities. The human resources of the company, which is in the range of 950 personnel are encouraged to pursue training either on the job or through professionally developed programmes. The company provides welfare facilities to the employees in the form of housing, school, health care, water and electricity as well as a satellite television. As part of the socio-economic study conducted, major improvements have been recommended for these workers’ welfare facilities. Additionally, with some nearly 4000 inhabitants identified in various communities in the vicinity of most of the concessions, the company has adopted measures that will promote and ensure a healthy coexistence by complying with the provisions of the new forestry laws, to create community forest for the sole use of such people. In line with this development some 25 000 ha of the company’s original forests allocation has been ceded off and created into a community forest. In addition, the company also makes certain financial provisions available to support the establishment a collective facility for the use of the people of these communities. Environmental wise, the company has been able to demarcate a number of conservation areas for the purposes of their management. These include the identification for the objective of protection of some 29 900ha of fragile ecosystems. She is also involved in the rational management of wildlife resources against poaching and the prohibition of commercial hunting in most of her concessions by the formation of a team of ecoguards who check on vehicles to and from the area for any illegal hunting activities.
Sustainable Management of Tropical Forests – Private Sector Experiences As part of the measures of the government to create national parks, the company in 2002 had to cede off 83 000ha of her concession to form part of the Invido National Park, and the company participates in the management committee of the park. In terms of some of the weaknesses with reference to the operations of the company, there appears to be a total lack of association with the NWFP that exist in her concession although it is generally acknowledged that the harvesting operation have an impact on them. In her harvesting operations, it is very obvious that the species-mix is very narrow as there seems to be so much concentration on okoumé. Usually, a concentration on such a practice causes over exploitation of certain specific species. A major constraint on the company’s export trade is the frequent changes in the policy with reference to the state organisation, whose activities and roles are related more to the export of the almost endemic okoume species in the round log form. Some of the relevant issues of interest include the effects of the different types of forest exploitation permits, as granted by the forestry authority and its effects on sustainable forestry practices. As on record there are four different types of permits, which have differing utilisation and exploitation requirements, this is bound to administratively as well as practically complicate the implementation and the subsequent monitoring of management activities of the companies. This will perhaps also complicate and undermine the authority’s strategy of promoting forest management on the basis of the development and use of management plans, as the varying lengths of tenure of such permits will tend to influence the direction and commitment of the companies concerned, as far as investment decisions relate to this activity The effect of forest exploitation, especially at the level of the companies, and its impacts on the wildlife populations and their habitats, has been a major source of worry. It is very much acknowledged that as a result of readily available transportation system and facilities provided by most of the logging companies, trade in the hunting of wildlife and the subsequent transportation of such bushmeat is on the increase and has become an attractive and buoyant subsidiary industry. Another issues which is worth considering in the operations of this company, especially is whether the forest management plan and the strategies outlined for their implementation will be extended to cover the entire concession holdings of the company. On some governance related issues, it is not clear whether the changes in the status of the forests, such as those ceded from the production forests of the company, to be developed into a National Parks is accompanied by the payment of the necessary compensation by the state to the affected companies. D. TRANSFORMATION DE BOIS IVOIRIEN (TBI) – LA COTE D’ IVOIRE This is a privately owned company,which is located in an industrial zone of Daloa, about 400km from Abidjan. Its investment capital is in the range of 100 000000 FCFA. The general objectives and mandate of the company is the exploitation of forest resources, primary processing of timber and its marketing as well as trading. The company has its origins from a mother company called Société d’exploitation agricole de Bandama, which was set up with an initial capital investment of 65 000000 FCFA in1980, for the sole purpose of the exploitation of the forest resource located in the south western region of La Cote d’Ivoire. As a forest enterprise, TBI has access to two sources of raw material base, namely a natural forest concession and a forest plantation established by the State forestry organisation SODEFOR. Under an exploitation agreement entered between TBI and SODEFOR in 1993, the company was enabled to harvest teak thinnings under the supervision of the state owned company for processing and export. The natural forest concession located within an average distance of 60 km at two different sites, have a total size of 160 000 hectares. From these two sites the company was able to harvest some 22 000m3 of roundlogs. In the harvesting operations the company had to exercise a lot of care in the choice and use of machinery and equipment as the activity was more or less a salvaging operation. The company has a well-equipped sawmill for the primary processing of the timber species from the natural forest and also the plantation grown species. In terms of volume of business for the period of her existence, this company gets about 60 percent of her required raw material from the plantations and the other 40 percent was contributed by the salvage operations from the natural forest, that had almost been turned into farms.
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Sustainable Management of Tropical Forests – Private Sector Experiences Financially, the returns from the exploitation agreement on the teak trees from the plantation operation enabled the TBI to purchase and install a kiln- drying facility in her sawmill, and therefore created opportunities for further processing activities. All these investments were made possible as a result of the harvesting and marketing of teak resources from the State-owned planted forests. Characteristically, the company’s focus is exclusively and entirely on activities that can successfully lead to the logging and harvesting of timber, rather than embracing the gamut and the set of activities, which are usually envisaged as necessary for the management of forests Admittedly, this company typifies an example of so many other local indigenous initiates, set up to take advantage of the seemingly abundant forest’ tree resources raw material base and then in the course of time, acquire the requisite knowledge, which gradually improves the entire corporate situation and image, in as far as making efforts and progress towards the realisation of the SFM culture. From whatever view point this case study is analysed, within the sustainability scale context, serious gaps can be observed in the way various activities are conducted, but these may be attributable to other related and rather complex factors beyond the reach of this enterprise. Some of the identified omissions include the absence of any form of on-site forest boundary lines as there are indications of rapidly changing land use pattern of the forested area due to very active farming. It is possible that the extent of human activity in these forests necessitated an economic tree salvage operation rather than any other form of management, Most of such tree, had been permitted to play a protective role for the crops in the cause of the development of the cocoa and coffee farms. Some of the major issues of concern relate to the different designations giving to the forested lands and how easily these have facilitated their management through interpretation by people other than foresters. Historically, the forestry code of La Cote d’Ivoire, since its promulgation in 1965-(Law No.65-425), classified and differentiated the national forest estate into• Sustainable National Forest Estate; • Rural National Forest Estate. While procedures for constituting these permanent forest estates by way of gazetting and also degazetting were clearly spelt out, perhaps the emphasis in Decree No.78-231 of 1978, which sets the terms and conditions for the management of such designated estates, such as.. ‘to produce timber and guarantee the ecological balance’, in the case of the national permanent forest estate. But on the other hand that, the national rural forest estate constituted a reserve of land for agricultural purposes, however while awaiting management it could be harvested for its timber resources, could be a source of contention for interpretation of what may constitutes forest management. It is not very clear whether forest management takes place in the course of harvesting timber or after, and hence its implementation could have suffered greatly in the eye and perception of people who were not foresters. 6.0 MAJOR ISSUES The perceptions of the enterprises and in some cases their related forestry authorities, in terms of the applicability and rationale behind certain issues, within the African or national context, are related below. 6.1 Governance and Related Issues In general, the governance systems as they relate to the companies, appear to derive their roots from the respective countries and the history underlying their development in general and those pertaining to the forests and how they have valued them. More often, the emergence and the adoption of the activities of these companies have served to catalysed and enhanced positively or contributed rather negatively to the realisation of the practical objectives of governance, in as far as the management of this resource is concerned. Some of the major causes of governance and related issues as identified in the case studies, with reference to various practices including those that can be classified as illegal, are related below.
Sustainable Management of Tropical Forests – Private Sector Experiences •
Illegal occupation of forest lands. This may stem from the invasion of public forested lands which may have been granted as a concession to a company or not, by rural families, communities or other private companies in order to convert them into other forms of land use, which in most cases is dominated by agriculture or activities that facilitate the depletion it of its entire wildlife resources through hunting as well as poaching. Usually the extensive network of roads and bridges provided by the companies to facilitate the direct transportations of the harvested timber serves to directly or indirectly provide passage and means for people with varying interest to colonise forested lands, which were previously virgin to a large extent. This situation is typified in almost all the companies, which participated in this study, and there appears not to be practical solutions to it, except for some experimental innovations relating to the creation of community forests and buffer zone management concepts, which are currently being tried in some of the countries as well as the forest management unit level of supportive companies. Such people resort to slash and burn methods of agriculture in most cases, with the result that sometimes governments are forced to grant ownership rights to them after officiating the salvage felling of some of the remaining economic tree species, as a last resort in such areas.
•
Illegal logging It is not very usual to have companies reporting on their illegal logging activities. In the first part of the survey, most of the companies shied away from divulging information on the number of court cases relating to the violation of forestry laws. But then the forestry authorities in all the countries of this study, confirmed the existence of illegal logging activities by most concession holders, largely represented by companies. Such practices are manifested in the logging of listed or protected species of timber, duplication of felling licenses and the girdling or ring-barking of trees, to kill them in order that they can be legally logged. Others include the contracting with local entrepreneurs to buy roundlogs from protected areas; logging in protected areas; logging outside concession boundaries; logging in prohibited areas, such as steep slopes, river banks and water catchments; removing under /oversized trees from public forests; extracting more timber than authorised; reporting high volumes extracted in forest concession to mask the fact that part of the volume declared is extracted from non-authorised areas outside the concession boundaries; logging without authorisation; and obtaining logging concessions through bribes.
•
Forestland arson This involves the setting of forested lands or woodlands on fire in order to convert them to commercial use. In both sub-regions, the existence of a major dry season, provides the conditions that supports wild forest fires during some parts of the year. Sometimes, directly or indirectly, and also knowingly or unknowingly, people and perhaps company representatives have been victims of such practices or used it to their advantage as they seek for salvaging permits to relief such burnt down forests of those still intact commercial species. Such situations appear to be more prevalent in the forests in the drier West African sub-region.
•
Illegal timber transport and trade and timber smuggling This takes the form of transporting logs without authorisation; transporting illegally harvested timber; smuggling timber; falsifying and/or reusing timber transportation documents; exporting and importing tree species banned under international law such as CITES; and the exporting and importing timber in contravention of national bans. In most of the case studies, the companies appear to be in charge of infrastructure development especially in the form of road networks and also river transportation facilities both within the private domain of their concessions as well as areas outside such concessions. Such imposition and extension of responsibility beyond the boundaries of forest concessions of the companies, which also include the care and maintenance of such infrastructure by the companies, as acknowledged by State authorities,
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Sustainable Management of Tropical Forests – Private Sector Experiences although may be seen as providing a good corporate image to the company, could also provide the opportunities that are sometimes exploited for illegal transportation and trade. More often than not this is facilitated in situations where the monitoring systems of the state institutions are no function as well as they should. •
Illegal forest processing By operating without a processing license; ignoring environmental, social and labour laws and regulations and the use of illegally obtained wood in industrial processing. In some of the forest concessions of the companies, the activities of chain saw operators who process in situ on the forest site, with a total disregard to forest management prescriptions as detailed out by the concessionaires, create problems for the companies the state authorities and the long term sustainability of such forests. Although other related issues such as transfer pricing and illegal accounting practices and corrupt procurements, have also been documented by the FAO as contributing to some of the origins and root causes of such governance related issues, which companies are found to be engaged in, there was relatively no information on this.
6.2 Technical and ScientificIssues The concerns over forest management practices have resulted in the pressure for change in their implementation. Hence various schemes and their associated mechanisms have been proposed to encourage improvement of the practices towards the realisation of a sustainable management objective through the provision of strategies to relevant stakeholders, so that they could improve on their management practices. Scientifically, it is well acknowledged that for the management of any forest to be sustainable, it must be based on a number of factors, with the two most important being utilisation and regeneration. According to Catinot (1997), when this is well understood, each logging operation should not harvest more than the growth regeneration has promoted in the forests and that neither one nor the other should irremediably disturb the ecosystem. In this wise, therefore any technical improvement that would increase logging yield and/ or reduce its impacts on the ecosystem is appreciable, as it will improve forest management and contribute towards reducing the possible degradation of the environment. In applying this to the tropical rain forest, he advises that the results of several decades of forestry research have to be analysed in order to improve on operations. From the standpoint of its productivity, he contends that: • its productivity is regulated by a number of limitations imposed by nature and hence logging must not be carried out on more than 40 per cent of the standing volume of the forest or on areas with a slope exceeding 35 per cent, unless techniques which do not degrade the soil (cable or aerial extraction) can be used; • the productivity limitations of tropical rain forests are in fact quite narrow and modest since it appears that, for Africa which has the oldest results, this productivity represents an annual bolevolume of between 0.5 m3/ha and 1.5 m3/ha. This means that for a cycle of two fellings in 30 years, the bole-volume potential will be between 15 m3/ha and 45 m3/ha, that is 8 m3/ha and 25 m3/ha of commercial volume; • under such conditions, a modern production unit requiring 50 000 m3 of roundlog input per annum will have to permanently managed a forest stand of the following size: -190 000 ha, . . . . . . . . . . .if the allowable cut is 8 m3/ha of roundlogs; -100 000 ha, . . . . . . . . . . .if the allowable cut is 15 m3/ha of roundlogs; - 60 000 ha, . . . . . . . . . . .if the allowable cut is 25 m3/ha of roundlogs.
Sustainable Management of Tropical Forests – Private Sector Experiences Based on these revelations, it is important that forestry authorities, in charge of forest policies in the tropical African countries with rain forest, bear in mind and also acknowledge that the guarantee for ensuring sustainability of forests allocated to the companies, will seriously depend on a more practical interpretation and application of such scientific and technical findings and information. In all the cases presented in this study, perhaps apart from the company from Gabon whose forest concession size appears to be large enough to conform to some elements of the above scientific findings, the majority of the companies have forest sizes, which would basically not be able to respond to the sustainability concept as scientifically outlined above to start with. The reason for this may perhaps be due to several factors, but usually economic considerations seem to have an edge over all others, resulting in forests being fragmented and shared amongst several competing companies. The resultant size of the concessions allocated to the companies do not therefore merit the investments required to ensure management practices based on scientifically tested knowledge, and hence companies are reluctant and hesitant towards the sustainability concepts. On the other hand, although significant progress has been made in recent times, with reference to improving knowledge regarding utilisation, regeneration and degradation through research, the implementation of these findings leaves much to be desired, as in most countries, as well as at the company levels, the means and capacity does not exist to effect these. Significantly at the country level usually. there are no clear lines that point to those involved in scientific research for the purposes of improving forest management and how such finding could be made relevant to the needs of the industry. In such a situation and uncertainty, the solution is to entrust the task and responsibility to consulting firms to come up with the best option such as has been the option taken by some enterprises. But it will appear that this way of doing things is only possible for the few multinational companies who have the financial means to be able to afford such charges. However, for the majority of the other medium to small scale types of enterprises who are not financially well endowed to entrust such activities to specialists, such requirements will continue to be a nightmare, and at best a dreamed proposition. In the light of all these uncertainties, and also in order to take a better advantage of the available scientific and technical knowledge, some of the principal European industrial forestry groups operating in Africa ( the European Foundation), in 1999, entrusted the ATIBT with the development of a PRACTICAL MANAGEMENT PLAN document, for African Natural Tropical Production Forests. This study was to concentrate on the forest operations, in order to develop a practical management plan, which they could all identify as a common denominator in forest management. The requirements of this study, was to be realist, as well as technically and financially applicable for all the different regions and variety of enterprises. By such an initiative, the members of the group were trying to address and avoid some of the existing unclear as well as grey areas that have characterised the definitions of sustainable forest management in general at the level of the companies, as most forestry authorities were not very forth coming on this in their respective countries. Additionally, some of the issues that prompted this initiative apart from the need to work, uniformly towards the achievement of sustainable forest management practices in tandem, was the disparities with reference to roles and responsibilities as well as the scope of the activities to be performed in relation to the various new issues and definitions of SFM. In the view of the members of this group, most of the different countries in the Central African subregion especially, have national forestry strategies and polices which revealed disparities regarding responsibilities and respective delegations between the forest owner or the State and the forest manager or the concession holder. As several of these countries had taken a decision, to assign partly or totally the role of the development of management plans to the forest manager, there was a need to define how best this could be done as the States themselves did not provide such guidelines in most cases. By this initiative the members of this group of forest industrialist have been guided in their pursuit of ensuring a more coherent system of harvesting and management.
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Sustainable Management of Tropical Forests – Private Sector Experiences Other issues of concern have centred on how the various sets of criteria and indicators as published by the various organisations are of relevance to most private sector forest industrialists. The stark reality of this was made manifest in the course of the second stage of this study, where in an attempt to promote the awareness of the criteria and indicators for the sustainable management of tropical forests, copies of the ITTO version and also the ATO version, were presented to the selected companies during the field visits. For some of the companies the two documents were a source of scientific information for their libraries, while others sought to find out how those documents could be used in their operations. Although in the case of the ITTO C&I document, there were also the accompanying manuals of application at the national level and the forest management unit level, their appreciation exercise appeared to be too academic for most of the industrial settings visited. With the exception of one of the companies that seemed to have benefited from an ITTO training workshop on the application of criteria and indicators in her forest concession, and hence had some degree of awareness, the others received the message with a mixed reception. Additionally, despite the fact that both the ATO and the ITTO, had already harmonised their sets of principles, criteria and indicators for the management of African natural tropical forests, a document which was only recently published in 2003, most of the companies appeared to be very ignorant of this and its use as far as this relates to their business operations. It became very apparent that the technical appreciation of these documents was very necessary and the training workshops as embarked on by the ITTO, should be pursued with all the zeal that it requires especially if the gap between scientific concepts and implementation is to be bridged. A few companies however, seemed to be a little bit aware of the national level criteria and indicators which serve as the basis of their national minimum standards for forest management. This in most cases was as a result of the fact that, concessions of such companies were either selected as sites for a pilot field testing of such nationally developed standards, or a representative of the company served as a member of the national working group this process, and hence brought this to the attention of the company. Where such participation or awareness creation activities are remote, such concepts and their associated technical documents ought to be well distributed to create the required awareness, as well as followed up with some form of training or information sharing activities. 6.3 Trade Related Issues Sustainable forest management concerns the pursuit of multiple goals; these include a sustained economic productivity, maintenance of environmental value and equity for all forest users. In all the forest concessions of the companies who participated in this study, the motivation to engage in trade resulting from logging remains the principal objective, as well as one of the most effective ways of translating a major resource potentialities of these forests into economic productivity. How this is achieved, depends on the aspirations of the governments and their related forest authorities, who are the resource owner. Of the five countries in the study, two countries in the West African sub-region have prohibited roundlog exports, in order to among other things promote further processing locally and also to stimulate local trade. In most of the other countries roundlog exports continues to be a major component of the export trade and especially for the two companies from the Central African sub-region, namely Rougier-Gabon and CIB of Congo, the contribution of roundlog to their annual trade in volume and revenue has been in the range of about 50 percent. Although countries are slowly ensuring that more and more of the forest tree resources are processed domestically by the enterprises, through the progressive enactment of new laws, the processing technologies made available and their related recovery efficiencies have continued to be very low. This results in the generation of a lot of waste wood fibre, which in most case, only find application as domestic or industrial fuel. Indeed, this resultant fuel product surely serves a need in most tropical African countries where wood fuel remains an important necessity, however in terms of the relative economic efficiency of generating revenue and maximising out of the excellent qualities of many of these tropical timber resource, most of the companies have shown little or no interest in such ventures. However apart from one of the companies,
Sustainable Management of Tropical Forests – Private Sector Experiences Samartex from Ghana, that is promoting a wood-carving industry out of some of the mill residues, and also harvests wood curls from her logging residues, almost all the others have shown no interest in diversifying into the trade of other products In almost all the companies, activities relating to standards setting, in relation to forest produce and the manufactured wood products are controlled and directed by the companies themselves. This appears to be the case because, the standards setting organisations in the various countries seem to have very little or nothing to do with forest products. They have in most cases not bothered to adapt where possible the existing externally available trade related standards to their various national circumstances as far as the forestry sector is concerned. Thus these companies, being more concerned about their economic survival, have in most cases relied on the standards and specifications provided by their customers. With the result that what pertains in most of the external markets becomes the rule as these companies become the pace setters from where State standards organisations would have to learn and also appreciate the nature and functions of a standards requirement of the trade. The domestic markets in most cases just take whatever results from the companies’ production processes, as there are no in-country mechanisms to assess the quality of such products. Hence, any form of reference to whether or not an enterprise is putting into practice the required principles of sustainable forest management, which should reflect in the products’ image, does not usually become a trade-related issue domestically. On the other hand, this situation can not be said to be the same for counties with environmentally conscious and sensitive markets, where in most cases sustainable forest management principles is more than just an add on function required of a product and its image. Thus, apart from the operations of L’ODEF of Togo, involving almost entirely plantation forest produce, it is not uncommon to find that almost all the enterprises that are seriously serving the export market are striving to make significant progress towards the incorporation of the requirements of the sustainable forest management principles in their operations, especially where the natural forest base is concerned. Of course, in most of the counties there is enough evidence to show that, new forest policies and the accompanying laws, take cognisance of the requirements that will ensure the sustainable management of their forest. But sadly, in most cases how the companies who really matter in this exercise of their use and implementation could be motivated to apply them through some innovative trade related incentives appears still to be a dream. In the operational mandates of the enterprises, there appears to be very little connection between the image of the forest produce or product and sustainable forest management principles. It is only when this is related to trade, where for instance the influence of the values of other stakeholders in the market is very strong, and therefore translates into questions about the ways and means of generating the product itself, that this becomes relevant. In this regard, enterprises which hitherto, have concentrated on the selling of just the products that they have made, with total disregard for forest management practices and the related environmental considerations, as well as the equity of other related stakeholders have had to alter their ways of doing things to improve their general outlook. This has necessitated the appreciation, though in most cases, this realisation has been very slow on the part of most enterprises, that the tree resource of the forest, form only a part of the sustainable rural livelihood system, and hence the other components are equally as important. By this realisation and also the adoption of mutual coexisting policies with rural communities, some companies have been able to take advantage of the benefits of such relationship to improve the wider requirements of their operations as well as the trade. The result is that increasingly most companies are tending to invest in activities, that testify to responsible forest management such as Rougier of Gabon, who has a certified forest management operation and others such as CIB of Congo and Samartex of Ghana, who are in the process of doing so. 6.4 Institutional Issues As a result historical as well as socio-economic reasons, it is observed that some institutional issues are no longer the monopoly of the State forestry authorities, but a contested terrain for most of the private enterprises in the region. The contestation, seem to resolve around institutional bottlenecks related to the
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Sustainable Management of Tropical Forests – Private Sector Experiences provision of infrastructure and vital facilities; regulations pertaining to monopolies; quality control and the evaluation of forest management outcomes, including others. Most of the enterprises have apart from their core business objective of a sustainable maintenance of timber production, have become recognised as provides of essential and vital facilities needed by the forest dwelling communities and other associated people, as a result of the fact that those responsible have not been able to do so. In the area of the provision of certain infrastructure such as roads and bridges, as a result of lack of means, etc., on the part of most central government authorities, forest roads and bridges as constructed by the concession holders, have had to be maintained by them beyond a functional status of a short to medium term to a medium to a long term basis. Though the companies seemed to vary with reference to the quality of provision of training and social facilities for their workers, in all the cases such facilities have had to be provided for the benefit of the communities as well, although they are not directly related to the companies. In this regard in the very remote areas, especially in the concession areas, most of the companies have more or less served as institutional substitutes for various branches of State authority. Most of the case studies serve as testimonies to company-owned training centres that have to duplicate for capacity building also for the State. Increasingly the use of the advocacy role of Trade Unions for the purposes of dialoguing with the management of the companies such as exemplified in the industrial setting of the CIB of Congo, represents a good system that tends to safeguard and improve the working conditions of the workers. Generally, non-forestry taxes are applied to logging activities, just as they are to any other economic activities of these companies, however direct forestry taxes are established as a result of a fiscal law, which are periodically determined and also reviewed by the States. Most of the direct forestry taxes consist basically of a stumpage component, area tax, export tax, and others. While in Gabon, this is composed of an area tax, an export tax and also other taxes designated as allocation and transformation taxes; in the case of Cameroon, there is also the area and export tax component in addition to others identified as stumpage, auction revenues, transfer taxes, etc. Usually, their implementation have more often than not served as a source of conflict and misunderstanding, as State organisations have capitalised on the advantage of such monopoly to do very little consultation with the relevant parties such as the companies, in the exercise of this duty. For most of the countries, the field activities of the forestry authorities are still evolving, while some of the companies such as the CIB of Congo, the Samartex of Ghana and Rougier of Gabon, are exhibiting well-developed internal pre-harvesting systems. Hence their forest resource data base, serve as a reference information source for the State system and thus creating a room for a lot of collaborative work, especially in the area of the quality of forest management achievable. Perhaps, the cost and the long-term implementation problems and the uncertainties, which surround most research and development activities in forest management, seem to have contributed to a lot more donor-led and driven R&D activity, than the company initiated ones. Under the instrumentation of the ATO and other collaborative and supportive development partners some of the member countries have been enabled to initiate and pursue activities, which would eventually lead to the realisation of the certification of their forest management practices, at the unit level of the companies. One of the principal activities under this has been the establishment of National Working Groups (NWG), to facilitate the process that would make deliberations as participatory, transparent and democratic as possible, involving all relevant stakeholders. The NWGs that were established in only three of the countries namely; Ghana, Cameroon and Gabon , seem to have a status and relational problem with the forest authorities as well as the companies and in most cases have been constrained by financial resources. As a working group that is intended to be independent and representative as possible, its linkages with governments on the one hand and other stakeholders such as Environmental Non-Governmental Organisations (ENGO) and certification and accreditation bodies including development partners is not very well defined. This has resulted in a duplication of efforts and serious bottlenecks in relation to the process that could lead to forest certification, and thus only the very well resourced companies with external connections, seem to have made a break through on this.
Sustainable Management of Tropical Forests – Private Sector Experiences 6.5 Environmental Issues Admittedly, one of the principal cornerstones, upon which most environmental and their related conservation programmes are based, derives from the perception and projections that, by advocating for the retention of large areas which are representatives of all forest types, to be in a state of minimum disturbance, a lot more biological diversity in nature can be protected. Despite such noble convictions, companies and forestry authorities have had to work towards the realisation of this concept in most cases quite belatedly. The reception and understanding of this concept have often mirrored mixed feelings by some of the forest enterprises, which have had to be deprived of portions of the original concession holdings, in the name of being converted into national parks and conservation hotspots. Some examples of these, occurred in the activities of the CIB of Congo and the Rougier Group of Gabon, which appear to have been well coordinated between the State forestry authorities concerned and the companies. In some cases for the purposes of cushioning the effects of human pressure on the conservation areas so created or responding to the some of the important need of community people, areas have been created as either buffer zones around such larger conservation forests or as community forests. But sometimes, it might seem that as a result of a lack of clarity of the functions of the buffer zone concept, and hence confusion between the legally protected area of the national park or the community forest, and the contiguous buffer zone and the transition areas, such areas as well as their boundaries have been subject to encroachment. While some people feel that the buffer zone should be a de facto extension of the park or community forest area itself, others see the highest priority as being the sustainable use of the buffer zone to meet the needs of the local community so as to relieve pressure on the central area or the concession of the enterprise. On the other hand, much as the different types of monoculture plantations of L’ODEF, which are predominantly in teak and eucalyptus, are environmentally serving as a useful reforestation purpose, their negative impact on biodiversity, such as reported to the extent of being relatively inhospitable to many tropical forest fauna, particularly the absence of the many frugivores that are supported by matured native trees, has attracted some concerns from the village communities. Indeed the underlying factors for environmentally enhancing forest values seem to vary greatly. To these different values, various governments and forest enterprises have had to relate to differently, in terms of their importance. While one may be very much concerned about the economic basis of such concepts the other perhaps evaluates the situation from the realisation of the objectives of the global convention that she has become signatory and party to and hence the need to enforce or implement them. There is however, a broad consensus, according to Sayer &Wegge (1992), in the possibility of managing tropical forests for the production of timber and other products, and still maintaining considerable biological diversity areas. This is possible through the selective removal of a small volume of timber trees and the subsequent protection of the forest to allow the regeneration of a further crop that can be harvested after some decades. Such a practices, would normally constitute a form of disturbance, though not synonymous with habitat loss, but would in most cases, be compatible with the requirements of the environmental functions of the forests including the conservation of its biological diversity. But issues relating to the economic feasibility of this proposition, and its attractiveness vis a vis the investments of the forest companies, ought to be assessed in order to promote or facilitate this. 6.6
Social Issues In the cases as reviewed, most of the enterprises especially as they relate to the CIB of Congo, Samartex of Ghana, the Group Rougier of Gabon and also L’ODEF’s activities, have devised various alternative livelihood interventions and incentive schemes aimed at socially re-orienting and also committing, both their own workers and the other groups of forest dependent people, towards the improvement of their lot, and hence promote a more benign resource management situation, not averse with the social needs and aspirations of the identified groups of people. In the opinion of Catinot (1997), this commitment can be strongly motivated by the stream of benefits, which such people will derive from any such external intervention. It also provides the leverage to engender
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Sustainable Management of Tropical Forests – Private Sector Experiences the participation of the people in most of the operations proposed, rather than countering them. To achieve such desired results, a two-fold strategy can be adopted; either involving them through alternative livelihood schemes, through the provision of aid and inputs for intensive agricultural production, animal husbandry or fishing; or by involving them in the forest development processes, through the reservation and management of a designated forest stand for the sole benefit of the village communities. In both cases, such commitment as required from the local populations should be encouraged by confirming and organising their traditional gathering and hunting rights within norms that can be considered by all interested parties as reasonably acceptable. This situation is replicated strongly in the processes leading to the protection of the wildlife resources of the forest concessions of the CIB of Congo. Where, the conservation awareness and educational programmes were directed at the various target groups, namely: the creation of children’s nature clubs; teacher training; and the organisation of village meetings, which focus essentially on topical wildlife issues. Usually, these rural communities appear to be very sensitive to interventions, which do not seem to recognise or disturb their traditional relationship with the forest environment, and even if this has to be modified, adequate consensus building mechanisms must be used. This situation is also vividly encountered in the forest concessions of the CIB of Congo, where some of the forest dwelling communities are not too receptive to the new ways of doing things as introduced by the CIB’s conservation awareness programmes. In most case there are two types of social relations, those which come about due to association with local communities as described above and those, which develop between the enterprises and their employees, with whom they sustain only a labour relationship. A major source of conflict, especially in the case of the latter has been the tendency for most entrepreneurs to unreasonably compromise on the social values of their employees. Such instances are increasing been catered for by trade and labour unions to a very large extent, especially in the management situations of the CIB of Congo and Samartex of Ghana. In all the cases, as a direct output of their processing activity is the generation a lot of waste, the utilisation of which could be the basis of several small production centres. Unfortunately, it would appear that the most economic and socially lucrative venture is to convert, such waste only in to wood charcoal, usually by people external to the company, or by the company itself generating some electricity out of this for her industrial plants including the lighting of homes. This tendency, however, appears to be different in the case of the Samartex of Ghana and L’ODEF of Togo. With reference to the former, wood residue of certain species from both logging and milling activities, have served as a focal point for wood carving activities. For the latter, most of the residue that is generated from the plantation-grown teak species is also further processed by various social groups into products, including carvings. On the other hand most enterprises seem, not to be concerned about the management of any form of non-wood forest products in their concession as they are of the opinion that this is a social good to be exploited by the local populations. In a few instances however, some enterprises have through research and development activities concentrated on a few of such products, but all such initiatives have been based on economic rather than the ecological concerns for the produce in question. The Samartex of Ghana appears to be a very strong contender in the pursuit of R & D, aimed at realising a natural sweetener from a native tree species, which seems to be endemic in her forest concessions. Some social activities, however have been recognised to impact negatively on forest management initiatives, and these include illegally hunting rights which are not in compliance with national hunting regulations, harvesting of timber resource legally allocated to enterprises by gangs of chain saw operators and illegal mining of precious metals and minerals from forest concessions. These activities including shifting cultivation continue to seriously affect all the good intentions of managing the forest on a scale, which varies from country to country and forest concession to concession. It also goes without saying that some enterprises do not seem to respect the traditional tenurial rights and systems of the local communities. To the extent that, sometimes, certain customary rule and regulation, which have historically played very important roles in the sustainable use of forests, such as sacred groves, have been ignored and the lands logged with impunity. Such situations are replete with the behaviour of some of the enterprises operating in natural forests, with a relative deficiency in commercial tree-resources such as La Cote d’Ivoire and Ghana.
Sustainable Management of Tropical Forests – Private Sector Experiences 7.0 CONCLUSIONS AND RECOMMENDATIONS Having reviewed the results of the Q500 general questionnaire designed for the private sector engaged in forest operations, and the associated QS2 structured questionnaire relating to the case studies of the five out of the seven selected companies, namely Congolaise Industrielle des Bois of CONGO; Sarmartex Timber & Plywood Ltd of GHANA; Groupe Rougier of GABON; Office de Developpement et d’Exploitation des Foret of TOGO and Industrie Forestiere de Batalima of La COTE d’IVOIRE, including other relevant literature on their status of implementation of the principles that contributes to the sustainable management of their forest, the following conclusions and recommendations are deemed to be relevant. 7.1 Conclusions • Essentially, under the definition of sustainable forest management, the entire previous concept of forests in relation, especially to the role of most of the private sector in the rather relatively narrow perspective, such as it would be applicable to most businesses of making profits at all costs, to satisfy the fiduciary responsibility to their shareholders, has become more demanding and challenging. However, in the African region of which the ITTO Producer member countries form a part, some few enterprises have really improved their management practices to acceptable threshold levels , while a lot more are in various stages of doing so, as far as SFM is concerned. At least in the case study examples from the companies especially from Gabon, Ghana, Congo, and also Togo, there were visible signs of improved management practices. A vivid manifestation of this leap in progress to SFM is as found in the case of the Groupe Rougier of Gabon. Additionally as it was also indicated by the Q500 survey results, the company Thanry-CEB also of Gabon has some 615,000ha of natural tropical forest also already certified. • Thus, bringing to two the number of natural tropical forest concessions of private sector companies, with management practices certified in the region • For a sizeable number of the private enterprises, however, the requirements of SFM will indeed continue to have a paradoxical effect on their functional abilities and styles of operation, as their current operational activities do not mirror much of these requirements, and for this reason makes them extremely sensitive to any request for information on their SFM activities. • A major contributory factor for those private enterprises in Africa, who have make pragmatic strides to SFM is based on their ability to translate commitments into activities and to shoulder a majority or all the associated costs, either through external development support initiatives or solely by themselves. As exemplified in the case studies of Groupe Rougier, CIB of Congo and Samartex of Ghana. • For the purposes of ensuring as well as improving their practices at the forest management unit level, most of these determined companies appeared to have exhibited a trend towards the preparation of a management plan or updating an existing one based on management inventories; the undertaken of socio-economic and other complementary studies, in order to appreciate the growth dynamics of these forests, followed by the choosing of the management parameters and prescriptions relating to production and harvesting. This implementation trend is typified in both the natural forests of the Groupe Rougier of Gabon, also Samartex of Ghana and CIB of Congo; and the planted forests of L’ODEF and those from which the TBI of La Cote d’Ivoire operated. • Other factors, including the scale of operation of the enterprise as supported by the size and extent of the allocated forest concession and also the desired market image seem to have an important influence on the readiness or otherwise to participate in SFM initiatives. • At the level of most of the companies there was a general paucity of evidence relating to serious abuses of forestry laws and the demonstration of knowledge gaps as they relate to the principles of SFM. There were enough indicators to show, the total or the apparent lack of knowledge especially with reference the harmonised ATO and ITTO Principles Criteria and Indicator for the sustainable management of the African tropical natural forests. Most of the enterprises that seem to suggest that, the implementation of the management prescription to ensure sustainability and the integrity of forest concessions left much to be desired.
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Although the level of engagement in NWFP is not very encouraging, an enterprise such as Samartex of Ghana , is making some inroads at commercially promoting some activities in this direction. Most of the recorded R&D activities taking place at the level of the enterprises were donor initiated as well as driven. In a few cases collaborations between the companies and some of the donor agencies, have flourished as projects contributing to knowledge on the management of the African forests.
7.2 Recommendations • In recognition of the expanded roles for the private sector under the definition of SFM both the ATO and ITTO will have to assist the private sector in more pragmatic ways either through project activities or re-packaging the required information on the principles of SFM to be as user friendly as possible for all the identifiable scales of operatives as well as the shades of enterprises in this stakeholder group. • There is a need for a constructive and continuous dialogue between the private sector ,in all the ITTO African Producer Member countries with their forestry authorities, as a basis of developing a better partnership required to achieve or make progress towards SFM. • On account of the sensitiveness of information on SFM, as far as the private sector operating in African forests are concerned, all future studies on this subject ought to have a component of extensively sensitising and educating the members of this group either through seminars or other appropriate mechanisms. • As costs form a major inhibitor to SFM initiatives in Africa, the private sector should endeavour to initiate collaborative initiatives with development partners in this direction and governments on the other hand ought to create relevant incentives that would collectively promote these principles. • With many private sector enterprises operating as small or medium sized forest companies, without the ability to attract some of the capital required for undertaking some SFM activities, mechanisms for joint, shared or collective initiatives on SFM principles, could be promoted by governments under the auspices of State forestry research institute, on their behalf. • Promoting forest certification as one of the important tools for the achievement of SFM, as well as developing the culture and the required structures of using both internal and external forest auditing methodology in forest concession management and assessment, by governments and the private sector respectively, could facilitate local capacity building, as it relates to both auditing and the processes leading to the rationalisation of forest management standards and their use. Thus minimising the existing market differentiation created between the local and external markets, with reference to SFM requirements. • Part of government revenue from forest taxes ought to be used for supporting SFM initiatives of the private sector including the publication of finding made as a result of their R&D activities. • Developing mechanism for better consensus building through the initiative of country forestry authorities, could promote the pro-activeness of the private sector to SFM in most of the African ITTO Producer member countries.
Sustainable Management of Tropical Forests – Private Sector Experiences 8.0
REFERENCES
African Development Bank Report; 2000. “Africa in the World Economy, Regional Integration in Africa, Economic and social statistics on Africa”. African Development Bank, Oxford University Press Great Clarendon Str. Oxford OW2 6DP. African Development Bank; 2001-2002. “Gender, Poverty and Environmental Indicators on African Countries: 20012002” Vol. II. ADB/BAD 2001-2002 Statistics Div. 01 BP 1387 Abidjan Côte d’Ivoire. ATIBT Statement; 2001. “High Extension Risk Eco-regions Analysis” (1999) of the CEO ad hoc form on Forests – Working Group and “High Conservation Value Forest (HCVFS)”- Notes of the World Bank’s Technical Advisory Group (TAG) jan 2001, The ATIBT Newsletter, N°14:15-21. Amanor,K.S; 1996. Managing trees in the farming system- the perspective of farmers. Forest Farming Series No.1, Forestry Dept. Ghana. P201 ATO 1995. Tropical Forest Action Programme – Regional workshop for member countries. ATO Information Bulletin N°3, 1995 P55. ATO; 1996. Forestry policies in member countries. ATO Information Bulletin N°4, 1996 P 47-70. Borrini-Feyerabend, G; 1996. Collaborative Management of Protected areas; tailoring the approach to the context. Gland, Switzerland, IUCN Brundtland Report; 1987. In Intergovernmental Seminar on Criteria & Indicators for Sustainable Forest ManagementBackground document. August 19-22, 1996 Helsinki. Catinot R. ;1997. “The Sustainable Management of Tropical Rain Forests” – ATIBT Scytale Publishing, 1997 France. FAO; 1998. Guidelines for the Management of Tropical forests: (1) The Production of Wood. FAO 19-22, 1996 Helsinki. FAO; 1998. Guidelines for the Management of Tropical Forests: (1) The production of wood. FAO Forestry paper 135, Rome. FAO; 2001. Global Forest Resources Assessment 2000. FAO Forestry Paper 140, Rome. FAO; 2002. Forest Products Yearbook 2002, FAO, Rome. FAO; 2003. Forestry Outlook Study for Africa, sub-regional Report (West Africa)= African Dev. Bank, European Commission, FAO. 2003 FAO; 2003. ‘Proceedings-Regional Workshop on Sustainable Forest Management Practices in Central Africa’. FAO/Netherlands Partnership Programme; Conservation and Sustainable Management of Tropical Moist Forest Ecosystems In Central Africa, Kribi, Cameroon 2002. Foundation Européenne; 2001. In ATIBT Newsletter, N°14,P14. 2001. Grove; 1997. In ATIBT Newsletter, N°14:P17. Grut, Mikael; Gray, John A; &Egli, Nicholas; 1991. Forest Pricing and Concession Policies: Managing the High forests of West and Central Africa, World Bank Technical Paper Number 143, Africa Technical Department Series, Washington D.C., The World Bank. INDUFOR ; 2002. Feasibility Study on Pan-African Forest Certification, Indufor 2002. Helsinki, December 15-2002. Gnamassou S. et al; 1993. ‘Land-use Planning and Land Tenure towards the establishment of a Sustainable Forest Estate in Togo: administrative, legal, social and economic aspects’ , in ITTO Report on the Seminar on Land-use Planning and Land Tenure to secure the Permanent Forest Estate, held in Yaounde, Cameroon. ITTO, Yokohama 1993. Ingles, A.W, et al; 1999. The Participatory Process for Supporting Collaborative Management of Natural Resources: An overview “FAO, Rome”. ITTO; 1992. Guidelines for the Sustainable Management of Natural Tropical Forests. Policy Development Series N°1 International Tropical Timber Organisation. Yokohama 1992. ITTO; 1998. Criteria and Indicators for the Sustainable Management of Natural Tropical Forests. Policy Development Series N°7 International Tropical Timber Organisation. Yokohama 1998. IUCN/ITTO; 1992. The IUCN Forest Conservation Programme – “Conserving Biological Diversity in Managed Tropical Forests”. Edited by Blockhus & al. IUCN Communications Div. Gland. Switzerland. Nganje. M. ; 2000. “ Assessment of progress on the ITTO year 2000 objective in Africa”. World Wide Fund for Nature. WWF International Publications. Gland Switzerland. Poschen P. ; 2000. “Social Criteria and Indicators for the Sustainable Forest Management, - A guide to ILO Tests”. Working Paper 3. July 2002 (GTZ) Gmbh Forest Certification Project. Repetto R. 1998. “The Forest for the Trees? Government Policies and Misuses of Forest Resource”. World Resources Institute. May 1998. Sizer,Nigel; 1997. The Role of the Private Sector in Sustainable Forest Management. Workshop Background Paper on Sustainable Tropical Forest Management and the Role of the Private Sector. Niedemhausen Germany, June 17-18, 1997 Sayer, J.A., Wegge, P. ;1992. In ‘Conserving Biological Diversity in Managed Tropical Forests’. The IUCN Forest Conservation Programme- Proceedings of a workshop held at IUCN General Assembly, Perth, Australia (30 Nov.1 Dec 1990) IUCN/ITTO 1992
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Sustainable Management of Tropical Forests – Private Sector Experiences Schmithusen, F; 1986. Forest Legislation in Selected African Countries, FAO Forestry Paper 65. FAO, Rome 1986 Simula, M.; 2001. “Promotion of Sustainable Management of African Forests” International Tropical Timber Organisation Project Proposal document, PD 124/01 Rev. 2(M)ITTO. Yokohama. Taird, S. ; 1998. In FAO (1999) – Non-Wood Forest products of Central Africa: Current Research Issues and Prospects for Conservation and Development. (Based on the outcome of an International Expert Meeting on NWFP held in Cameroon, 10-15 May 1998) FAO. Rome 1999. Thornber K., Plouvier D ., Bass S.; 1999. Certification: Barriers to Benefits. A discussion of equity implications (1999)A Forest certification Advisory Group Briefing paper Tropical Forestry Update; 2001. Certification issues in Tropical Forestry Update Vol. 11,No.2, 2001; ITTO Yokohama. UNCED; 1992. Earth Summit – Rio Declaration & Forest Principles. Vergara, N. T,. ; 1996. In “Community Forestry as a strategy for sustainable Forest Management. Empowering communities to preserve their forest area and the resulting implications for biodiversity conservation”. ITTO-DENR International Conference on Community Forestry, May 24-26 Philippine . US Department of Agriculture Forest Service; 2000. “2000 RPA Assessment of Forest and Range Lands”, (Report FS687, Feb. 2001) USA.
ANNEX
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ANNEX 1 CASE STUDIES OF COMPANIES & ORGANISATIONS Congo – A Case Study on Congolaise Industrielle Des Bois (CIB) The company CONGOLAISE INDUSTRIELLE DES BOIS (CIB), is privately owned, with its principal business objective being the harvesting of timber and its processing into wood products in the Republic of Congo. The implementation of these activities, takes into consideration the environmental and socioeconomic factors of the region where it is located as well as that of the country as a whole. Essentially the core activities of CIB, involve forest exploitation and timber processing, all of which are conducted with a social improvement objective. The development plans of the company are aimed at achieving a better management of the forest resources, through the elaboration of management plans. The implementation of this activity is being made possible through the company’s own resources and financial support from the German Government’s organisation-GTZ and also L’Agence Française de Developpement. Under a pilot project, which was co-sponsored by the ITTO, the Wildlife Conservation Society (WCS), the Government of Congo, and CIB, which is aimed at the implementation of controls and the protection of wildlife, eco-guards are specially trained to render such services. The company in a bid to ensure the protection of forest resources from encroachment, provides alternative livelihood resources to such people to address the needs identified. The company’s social investments are in the range of 2 070 000 000 FCFA (approx. USD 3 200 000). The CIB is located in the northern part of the Republic of Congo, where the company has been operating from for more than 25 years. It was purchased from a previously established company. CIB is part of a group of called Hinrich FELDMEYER-tt Timber International, which was created in1980 through the merger of two companies that were being liquidated. The two companies were restructured and in 1997, a third company was also purchased and added to the other two. The CIB is therefore a restructured business entity of three originally established separate companies. It is one of the largest industrial companies, operating in the forests of the Republic of Congo. Resources and her Resource Management The CIB’s forest concessions consist of four production sites, all of which are located in the Sangha Region of the Congo of which Pokola is part of, and representing the headquarters of the company’s operations. The settlement Pokola, has about 10 000 inhabitants, and is situated at 45 km along the down stream side of the River Sangha, which is one of the tributaries of the River Congo. At Pokola, the company has her administrative facilities, two large scale sawmilling plants and a medium sized one; mechanical workshops; stores; moulding mill; and a battery of of kiln driers. Apart from Pokola there are three other operational sites, namely Kabo, Ndoki 1 and Ndoki 2 . The settlement Kabo, is located about 100km from Pokola on the Sngha highlands, with a population of about 2 500 inhabitants, the company has two sawmills located here. Then in the two other villages, namely Ndoki 1 and Ndoki 2, there are two logging yards. Ndoki 1, which is a village with about 1 000 inhabitants, and situated at about 50km. north of Pokola, has the logging yard for all the forest concessions around Pokola. The village Ndoki 2, with about 800 inhabitants and also located at about 80km. north of Pokola, has the logging yard for all the forest concessions around Kabo. All the roundlogs that are produce from the company’s concessions are transported to either Kabo or Pokola, to be processed or exported from there. All the products of CIB are either sold locally in Brazzaville, the capital city where the population is relatively denser, or they are exported. The means of transportation to these identified places of sales, is by two routes. The route leading to Brazzaville, which departs from Pokola, consists of river transportation as far as to Brazzaville, using rafts and barges for either the roundlogs or sawntimber. The problem, however with this river transportation system is that, it is seasonally dependent on the water level, hence there is an average of some four months of the year, during which it is totally impossible to navigate on the river with any product. The wood products that can be navigated successfully to Brazzaville by this means, during the favourable months can then be dispatched, if the products are intended for the export market, to Pointe Noire
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port via railway transportation, a system of transport that has since 1997 been beset with all sorts of problems. Alternatively, products intended for the export market, are transported along a route that goes through Cameroon and ends up at the port in Douala, or using a combination of road and railway transportation, starting in Pokola to Belabo by road, and the continuation from Belabo to Douala via railway transport. The company’s plant and machinery include 21 Bulldozer caterpillar D6 and D7 types; 8 Low-loader trucks; 12 Grapple loader type 966 and980; 5 Graders; 13 Long-haulage trucks; 11 Tipper-trucks; 2 Petroltanker trucks; 3 Mobile workshop vans; etc For the purposes of river transportation, CIB has at its disposal enough suitable floating mechanical devices that would permit the transportation of her products to and from Brazzaville. There is a complement of 15 planar boats; 14 barges; 2 Ferry boats and also 7 pieces of out-board motors. The forest concession holdings of CIB, total up to 1.3 Million hectares of production forests, which the Government of Congo has divided into four forest management units (FMU) as follows: FMU of Pokola . . . . . . . . . . .378 000 ha; FMU of Kabo . . . . . . . . . . . .267 000 ha; FMU of Toukoulaka . . . . . . .206 000 ha; FMU of Loundoungou . . . . .390 000 ha. There are other areas which are only classified as forest exploitation area (UFE), adding up to the total operational area of forest allocated to the company and this includes the UFE of Pikounda, which is 93 000 ha Out of this forested area, it is estimated that the practically operational area is 1.0 Million hectares with some 3 00 000 ha consisting of swamps and swampy forests; The annual allowable cut as prescribed for the current areas of operation, by the Congolese forestry authority, based on the few primary species of interest to the company, are as follows: FMU of Kabo . . . . . . . . . . . .100 000 m3; FMU of Pokola . . . . . . . . . . .150 000 m3. A major proportion of the forest concessions of the company consist of moist tropical forests, with the areas around the rivers and streams having the richest collection of species and invariably representing the most important biological diversity hotspots of the forest ecosystem. It is quite characteristic to find along the banks of some of the rivers and stream courses a domination of single species population type of forest. Here the identified dominate species, usually in various growth stages is Gilbertrodendron daneure. Most of the south eastern portions of the forest concessions, is characterised by open canopy type of forests with a lot of Marantaceae sp. Growing almost everywhere. This type of humid forests exhibit various types of tree canopy formations. The fauna composition of all these forest formation types, consists of a high density of protected animal species including, elephants, gorillas, chimpanzees, buffaloes panthers, bongos, etc. The annual rainfall in these areas are between 1 600mm and 1 800mm. With reference to the comprehensive management of the forest concessions of the company, the CIB is currently developing her forest management plans to ensure this. To facilitate the realisation of this objective, she completed a forest inventory and a socio-economic study of the Kabo FMU in July 2002, and the inventory studies of the Loundoungou and Pokola FMUs are on course. From the results of these studies, the company envisages that the forest management plans would be finalised by the end of the tear 2003. Harvesting, Primary and Further Processing Despite the non-readiness of the management plans, the CIB has in place a lot of time tested operational rules and silvicultural prescriptions, which have guided their forest operation. Some of these include: -
not harvesting more than 2.5 trees per hectare of forests; harvesting trees with diameters greater than 2 meters only; avoiding the harvesting of protected tree species such as Ebony, etc.;
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conservation of seeded trees or mother trees; the adoption and use of reduced impact logging techniques; the training of all felling crew and the cross-cutting teams; the recovery of all used oils from the forest sites; the tracking and recovery of all unloaded roundlogs and utilisable pieces.
Most of the above regulations guiding the operations of the company, contain a lot of the elements which also form part of the criteria and indicators, as spelt out for the sustainable management of tropical natural forests. In a rather parallel development and activity, the CIB was a host to a training workshop, financed by the ITTO on C&I, in July 2002, to introduce and create more awareness as well as promote its use as tools for the management of the forests of Congo. Other prescriptions adhered to by CIB, includes ensuring that a zone of about 50 meters or a wider space is maintained around the vicinity of ponds and swamps, as a buffer zone to protect fragile soils and areas. In the harvesting of some of the preferred species of the Meliaceae family, although the minimum prescribed felling diameter is 80cm, the CIB prefer to set her minimum felling diameter limit at 90 cm. In accordance with the norms of operations, the current practice is that, the company based on the prescribed AAC, details out the species and volume of harvesting to be made for the proceeding year by October for the approval of the Forestry authority. When this is approved, the various specialised teams under the logging department set to work. Based on ground surveys, etc, the volumes of the trees, which are ear-marked for harvesting are determined. These volume estimates are multiplied with a prescribed set of charge from the forestry authority, to determine the tariff to be paid upfront, before the commencement of the harvesting operation. At the end of year the Forestry authority monitors and evaluate the operations of the company through a physical count and measurement of the tree stumps and a review and assessment of the operations of the previous year. Any required reconciliation on the volumes harvested, as they may relate to charges especially, are then effected within the requirements of the regulations. The CIB does not undertake any post-harvest regeneration surveys now, but has a project in the pipeline which aims at developing specific methodologies for realising such post-harvest regeneration activities. Currently, a parastatal organisation L’UPARA, is working in collaboration with CIB, in tree nursery and enrichment planting trials. This organisation is conducting some research trials on seeds collected as well as seedlings developed from the CIB concessions. At the end of all the logging operation in any particular area, the roads and logging trails, linking the adjacent forested lands are all closed, to prevent unauthorised access to people who could initiate any further disturbance to the logged over forests. The company offers training in reduced impact logging techniques to all her tree felling crew, through the engagement of a full-time specialist in this discipline. In order to ascertain the impact and output of this type of training on the company’s operations, the CIB has in collaboration with experts from the University of Holland, on two separate occasions (July2001 and July 2002), assessed and provided further counselling to such trainees and operators. For the purposes of ensuring forest protection, the CIB in 1999, through a protocol agreement concluded between the Ministry of Forestry of Congo and herself, decided on a number of activities to help in the protection of the forest resources. These actions include awareness creation at the level of the population at large including the workers of CIB, education of school pupils and the establishment of a hunting zone for such interested hunters, beyond which such activities are not permitted. The formation of a team of people –ECOGUARDS, trained to patrol, arrest and control poaching and hunting activities. There are currently 35 members of the ecoguard squad, equipped with radios for communication with a central point and also they have been detailed to search all vehicles, including other recommended measures, in the performance of their duties of ensuring a better protection of the wildlife. Additionally, other alternative livelihood programmes and measures have been developed, relative to hunting in the form of facilitating domestic breeding and the rearing of animals, as well as fishing. Specifically, the raising of chicken and the development of fish ponds including the provision of fishing gear and accessories to fishermen. Under this same facility, the company imports meat and this is distributed and sold to the population at subsidized
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prices. This project is managed jointly, between the company and the parastatal organisation L’UPARA, and it also has an agroforestry component, which ensures that all farming activities are more or less restricted to designated permanent areas rather than being shifted from place to place. In ensuring the improvement of her information and data base systems, the CIB has acquired some specific programmes such as ‘Mapinfo’ and ‘Arcview’ and also developed all the relevant maps on her concessions using geographical information system technique, etc. She has used the services of a consulting firm to improve her information systems delivery. With reference to forest exploitation activities, the company’s roundlog production for the past five years are presented in table 1. In the harvesting plans of the CIB, the company has the tendency of concentrating on relatively a few selected number of species. As indicated in the table 1, the volume of two species of timber, of the Entandrophragma genus (Kosipo and Sapeli), in the harvested roundlogs, has over the years been above 70 percent of her forest production. According to the company, some ten years ago, she only harvested four timber species, namely Entandrophragma cylindricum (Sapelli), Entandrophragma utile (Sipo), Afzelia africana (Doussié), and Millettia laurentii (Wengé). However in recent times with the improvements made in her processing techniques, more and more species are being logged, and these include Chlorophora excelsa (Iroko), Etandrophragma angolense (Tiama), Triplochiton scleroxylon (Wawa), etc Table 1. Roundlog production, processed & exported–CIB PRODUCTION (m3)
Roundlog Roundlog-Sapelli / Sipo (m3) Roundlog Export (m3) Roundlog processed (m3) Recovery rate (%)
1998
1999
2000
2001
2002*
260 664 235810 (90.5 %) 95 926 136 547 52.4
252 027 217695 (86.4 %) 109 286 152 299 60.4
279 673 22I695 (72.3%) 106 069 175 960 62.9
300 277 213718 (71.2%) 102 204 198 342 66.1
282 953 199392 (70.5%) 68 160 195 807 69.2
* 2002 is for 10 Months of the year only.
In the harvesting operation, fellings are only undertaking during the period of the month when the lunar cycle shape is diminishing in size, in order to reduce felling damage to the minimum. For certain parts of the concessions, harvesting operations can only be undertaking in the dry season, in order to reduce disturbance to the fragile soil types in these areas, especially in the open canopy type of Marantaceae sp. Forests. Usually the felled trees are left at the stump area for a period of about one month, following which they are cross-cut and skidded to the landings. For an effective skidding operation the company combines a bulldozer and a wheeled-skidder. Loading of roundlogs is accomplished using wheeled grapple loaders on to long-haulage trucks, which convey the produce to either the mills or designated log-yards. The company as much as possible tries to recover, most of the shorter log rejected ends and other logging residue to added to the stock of raw materials to be processed at the sawmills. Those residue which do not meet the minimum specifications for processing in the mills have been a subject of a study, in which some local people were encouraged, through trials to use the power chain-saw machine to split up such log-end for use by small scale operators. But with the very low demand and the absence of a flourishing local market, the profitability of this venture appears not to be too attractive for the people currently. The company depends on a team of well equipped road maintenance team, to ensure that all the operational roads are in a functional state, that will permit the movement of the goods and personnel on a timely basis. All the roundlog requirements of the five saw-milling facilities of the company are provided for from the company’s forest concessions. The sawmilling facilities are located in Pokola and Kabo. The biggest of the sawmilling plant has an 180cm diameter headrig and two other 160cm diameter head sawing devices, including a horizontally mounted log splitting saw device, and a complement of multiple edger and an assortment cross-cutting saws. The products from this mill, either move to two recovery mills or are sorted out for packaging. There is one other sawmilling facility, which is also equipped with two headrigs and a complement of other sawing devices, which is used for processing of redwood
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species only. Another line, recently installed in 2001, is for the sole processing of relatively light-density white wood species and it also includes a recovery line with two re-sawing machines. Also in Pokola, the company has a set of eight kiln drying units, with the capacity to dry 1000m3 of sawntimber and a moulding mill equipped with two very modern moulders. There are two other sawmilling facilities which are located in Kabo, with their equipments installed in 2000. The performance of the various processing centres are as indicated in the Table 2. The recovery rates of the various milling and other production centres seem to be improving over the years as their uses become more integrated and complementary. There are however, some indications that this trend may not be sustained for long, if some more practical changes are not effected in the operations of the company. Table 2. Annual Production of Processed timber –CIB PRODUCTION (m3) Green Sawntimber Sawmill recovery rate (%) Kiln-dried sawntimber output Moulding mill Roundlogs Proces’d Recovery rate (%)
1998
1999
2000
2001
2002*
37 509 27.5 136 547 52.4
39 747 26.5 152 299 60.9
51 019 29.0 175 960 62.9
60 523 30.5 11 308 1 173 198 342 66.1
62 692 32.0 15 055 2 019 195 807 69.2
*2002 represents 10 Month of production only.
The results of the first inventory conducted, shows roughly that to maintain the same production levels, it will be necessary to expand the species range extensively to include a lot more lesser known species. To be able to make such new promotional species profitable and remain competitive on markets, the closest of which is over 1 000km. away, is a challenge for CIB. This requires new and intensive R&D initiatives, which can make profitable products out of these numerous promotional species, under all these constraints. Markets, Marketing and Taxes The local market in Congo is quite small and relatively weak. It only represents about 5 percent of the total product market of CIB. Brazzaville, which is the largest marketing centre is located some 1000km away from Pokola and hence transportation costs are very high. In fact the small size of the overall Congolese population is also a major contributory factor to the weak domestic market demand for wood products in general. In most cases about 95 percent of the products are exported. With the system of transportation, influenced by several factors, the company has to make choices in relation to meeting her marketing commitments, by either using routes within Congo or those in combination with routes through Cameroon. Most of the company’s export parcels are transported, exclusively through the Cameroon route, in order to improve the predictability of delivery and avoid delays as well as ensuring the security of the goods. The company determines the pricing of her roundlogs and other products, taking into consideration the statutory felling taxes, cost of various operations performed from the forest, road construction and maintenance activities; field surveys, tree identification, felling and cross cutting activities; skidding and the long distance transportation, etc. The cost of roundlogs, delivered at the mill is about 30 000FCFA per m3. On the other hand the quoted prices of the processed products have been noted to be falling, since about a year now. The reasons for this price decline are due to various factors, beyond the control of the company The CIB benefits from a number of fiscal incentives which form part of the original investment agreement establishing the company. In the form of taxes, the company among others, pays felling tax in order to obtain a right to evacuate her roundlogs out of the forest area. Additionally, she pays all the necessary duties on imports, as well as income taxes as it relates to all her employees. She is a member of the umbrella organisation for the Congolese Large scale forestry enterprises – ‘Federation of Agricultural and Forestry Union of Employers’.
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Human Resources Development Programme The CIB employs about 1665 personnel, of which 27 are expatriate managers and 12 of them who are Congolese are also in the managerial class. Table 3. Manpower strength & Investment trends – CIB
Manpower strength Turn-over (million FCFA) Investments (million FCFA)
1998
1999
2000
2001
2002*
957 20 555 2 471
1 220 22 588 1 693
1 330 28 551 2 197
1 522 27 797 3 791
1 665**
* 10 Month only; ** increase in the number of personnel is due to the purchasing of a mill in Kabo and also the personnel engaged in the development on the Management plan of CIB.
The manpower strength of the company as illustrated in Table 3, has recorded a year increase as a result of new investments in the form of acquisitions of mills and some new activities being undertaken by the company from year to year. These personnel of the company are controlled by a code of work conduct for CIB Staff and Workers and a convention of the collective agreement of the Agricultural and Forestry workers of Congo. Besides these agreements, which are binding on every employee, there are other protocol agreements, which are periodically signed, through negotiations, between the company and the local trade union association for the workers. One of such an agreement, establishes the levels of some privileges to be enjoyed by the workers. These include health and hospital allowances, educational grants, social allowances and bonuses. The company has a trade school for the training of artisans including on the job type of training activities undertaking under the various operational sections. Research and Development The company makes a lot of efforts towards the development of new products. Such research and development activities requires the undertaking of a number of trials using several species of timber. With reference to R&D relating to her forest management operations, apart from the reduced impact techniques studies, the CIB jointly sponsors the work on the pilot forest management and reforestation/agroforestry activities of L’UPARA being undertaken in her concession and the surrounding areas. International Accords, Certification, etc. With reference to international accords that the Government of Congo is a signatory, including the national forest policy and the associated laws, the CIB tries as much as possible to cope with the various obligations. It goes to the further extent of collaborating with environmental NGOs, in order to achieve a common objective on forest management and conservation issues. It has also benefited from some joint project activities with ITTO and the Wildlife Conservation Society (WCS). As regards forest management certification activities, the CIB in a quest to demonstrate a responsible attitude in her management activities, had her forest operations audited by the Sociéte Générale de Surveillance (SGS), the results of which were subsequently verified by the Holland–based Keurhout Foundation, who issued a certificate for the company on the 1st.Jan.2001. Subsequently, however the Greenpeace Movement instituted a court action against the Keurhout Foundation, for the certificate to be withdrawn, a decision which was upheld by the court. Despite this action, the CIB still maintains the system of controls and the recommended improvements as prescribed by SGS in her field audit and evaluation. Contributions to Socio-economic and National Development. Apart from the direct employment offered by the company, there are several other individuals who depend indirectly on the products and services provided by the company as well as the CIB also benefiting from such services.
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In her housing project for the workers, the CIB uses bricks and tiles manufactured by subcontractors. A lot of the logging and mill residues are transformed into charcoal. An activity which is undertaking by not less than 60 people, who are engaged in this type of work. There are several people engaged in either road or river transportation business of goods and persons. The CIB has in most cases provided the necessary infrastructure that would make the life of the average worker and his/her family’s life, as much bearable as possible. The workers are provided with houses, a medical centre, pharmacy, schools, portable water and electricity, as well as a television facility. The company has provided accommodation to house the local police station, customs office, and the forestry authority. She is currently constructing a new market and shops for the people at Pokola. Under the alternative livelihood programme, meat and poultry products are conveyed and sold at a subsidized price for the people. Poultry feed and other accessories including fishing gear are provided under the same programme to stimulate commerce and trade in these areas. The company has developed an infrastructure for all the major sporting activities, and also finances the organisation of competitions. She places at the disposal of the inhabitants of Kabo, Ndoli 1 and Ndoli 2, a vehicle that conveys them trice a week to shop at Pokola; These facilites and others which were estimated to be about 500 Million FCFA, in 1998 are currently in the range of 1000 Million FCFA, as they are improved and more things are added. It is estimated that the social capital of CIB is about 2 070 000 000 FCFA currently. The CIB also ensures that the office furniture and also accommodation is provided for all the State agencies, that she has helped to provide offices for in the various surrounding villages. She has constructed a number of schools and accommodation for some of the teachers of these schools in some four of the surrounding villages, namely Boua, Benne, Mikanga and Toukoulaka. She provides technical training in her trade school located at Pokola, where interested students are enrolled from the villages. Under the ecoguard project with WCS and ITTO, CIB is constructing two security posts and is also providing the working gear for the guards. On the maintenance and construction of roads the CIB in the course of her operations in each year, constructs some 200km of new roads and maintains over 600km of roads up to the Cameroon border. These roads are at the disposal of all road users. She maintains a team of workers that ensure that the water ways of the River Sangha are cleared of dangerous fallen trees and obstructions to a smooth river navigation and transportation in the area. On the average the CIB, on the average makes an annual contribution of about 3000 Million FCFA to the GNP of Congo. On the other hand, as a result of other problems relating to transportation and other internal company problems, and externally those relating to the political instability of the Congo, the economic performance of the company in the last five years, has been quite steady without much remarkable changes. Environmental Conservation The CIB is committed to the realisation of responsible management and conservation of the forest resources placed at her disposal by the Government of Congo, in the course of ensuring that she achieves her core business activities which relate to timber processing. In line with this commitment the company has made varies forms of investments, which will help prolong the use of these resources in a sustainable basis, hence the current process of developing and elaborating of the management plans, to provided the references for both environmental management and conservation of the forest. Other initiatives in this direction includes a protocol agreement involving, the Ministry of Forestry of Congo, who provided some experts, and the WCS, in a partnership with the CIB to create, develop and manage out of part of CIB concessions, a national park- NOUABALE-NDOKI. This initiative, it is hoped would form the basis for the development of a Central African Safari: CONGO- SAFARI, as pertains in South Africa to promote eco-tourism. In this light the two principal organisations WCS and CIB are collectively working to protect the wildlife populations here. There is also a park development committee with various stakeholder representation, which meet from time to time to assess the progress made with this objective. The cost of these activities to the company is estimated to be about 2 500 FCFA per hectare.
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Impacts of CIB’s activities in the Forest Region There is no doubt that the tempo of industrial activity and the social consequences of the pace of development of the many programmes and action initiated by the company or otherwise, will have an influence on the life style of the indigenous people. Culturally, this seems to have influenced the lives of some of the Bantos and the Pygmies, who are the original natives of these forested lands. Although, some seem to have assimilated these new ways of living and working for a company, as the company also benefits from their traditional knowledge about the forest, others have stayed away from a lot of these new ways of life. While some of them, willingly seem to use the medical centre and also the school facilities, some still prefer to depend completely on the forests that they are more used to and know best. Lessons and Comments As a general observation, the company is of the view that the current requirements of sustainable forest management, requires that governments will in a more partnership spirit sign management contracts that would commit companies to sustainable forest management rather than the original concept that relate only to processing or value addition to an existing forest resource base. Ghana – A Case Study on Samartex Timber & Plywood Ltd. Samartex is a privately owned company, which came into existence in June 1995, when it took over Africa Timber & Plywood Limited (AT&P), through a divestiture process. AT&P started operating in Samreboi, in the Western region of Ghana, in 1947. The company was part of the United Africa Company which was itself part of the multi-national Unilever group of companies. Samartex is one of the leading forest enterprises in Ghana located in the Western Region of the country, with a total workforce of 2,350 employees. Its main activities include natural resource management (forest planning, forest road construction, selected harvesting of economic trees and reforestation) and wood processing. The Company has also diversified into area such as agro-forestry, processing of NWFPs (essential oils, Thaumatococus sp. etc) and the processing of wood residues into carvings. The company is diversifying its activities, from a purely timber based company to a type of an agro-based industry, using an on-farm-forestry management concept, to improve on most of the degraded off-reserve forest lands. In the area of community development, the Company rehabilitates about some 250km of road network annually, provides school, hospital, electricity and potable drinking water in the Aowin and Wassa Amenfi Districts. The objectives and priorities of Samartex include the following: • • • •
Sustainable Production of timber; Biodiversity Conservation; Competing effectively on the international market; Further development of Samartex into an agro-based industry.
Samartex is a large-scale firm, that achieves an average round log production of about 10,000m3 per month. The various departments in the company are: forestry, transport, sawmill, veneer mill, plywood mill and moulding mill. The rest are stores, maintenance, electrical, wood carving and human resource departments. This company currently has about 145 000 ha. of forest concessions located within a 70km radius of the factory premises. It therefore, enjoys the advantage of the proximity to raw material All the forest reserves (concession area) constituting the natural resource base of Samartex are located in the moist evergreen and wet evergreen forest zones of Western Region of Ghana. The forests are very rich in biodiversity, including a lot of the well- known primary economic species. Apart from the forest reserves, the company also has access to pockets of forest in the off-reserve area belong to other concession holders
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Resource Management The company’s forest management planning activities are based on a forty-year felling cycle. This involves the grouping of forest reserves into coupes, with the activities in each coupe spanning over a period of five years. The system of silvicultural management is based on the selective felling concept. It derives its strength from an Annual allowable Cut (AAC) as determined for Ghana, by the forestry authority, which is in the range of 500 000m3 for off-reserved forests and 500,000m3 for on-reserved forests. The Forestry authority, allocates yield (i.e. Trees to be harvested) using a yield selection formula as indicated below: Yield Selection; Reduced formula Z= 0.25y + 0.2x Normal formula Z = 0.5y + 0.2x where:
Z = No. of trees to be removed above the felling limit; Y = No. of trees in the diameter class equal to or above; X = No. of trees in the diameter class recorded as below the felling limit.
To ensure sustainability of the tree resources, enrichment planting is carried out in almost all the harvested compartments, including the log landings (sidings) and skidding trails. Forest protection measures include reduction of combustible material such as logging residues, application of low impact logging methods and clearing of debris from water course and bodies. There is a well-established computerized system in place to check log inflow, species database for current and future compartment to be harvested. The company use geographical information system and positioning systems methodologies ( GIS/GPS ) as integral tools in forest and road planning activities. Human Resource Development Programme Samartex Timber & Plywood Company Limited has a commitment to the local communities and her employees alike. The Company has a programme, that ensures that local people, are provided with training opportunities through a selection process, this also includes those within the company, to developed and improve on their skills, through training in the requisite managerial, technical and professional areas of interest. Although this was originally thought of as a means of ensuring a sustained activity of the company, the wider benefits has resulted in the continued growth and prosperity of Samartex and the development of capacities of people in a very remote region of Ghana. Additionally, apprenticeship and management trainings programmes, either organised on site or outside the company’s premises have been the main focus of Samartex’s human resource development strategy. The apprenticeship training programme of the company, offers a training facility that supports skill development as well as a career path to the numerous unskilled unemployed youth in the Wassa Amenfi and Aowin Traditional Areas. This programmes is pursued in the company’s forestry, wood utilization and engineering sections. To ensure a certain level of experiences and quality of delivery, a close collaboration has been establish between the company and other apprenticeship training centres both locally and abroad. The method of instruction is a combination of practical training and theoretical classroom work. Under her management training programme, the company has a scheme of engaging fresh university graduates, without the requisite working experience for training and the related opportunities for advancement and promotion within the Company’s management structure . Contributions to National Development On record, there are good indication that, the wider forest industry in Ghana is contributing significantly to national development by providing employment to approximately 104,000 people and a means of livelihood for some over 2 million Ghanaians. It also contributes about 6% to GDP, valued at US$ 174 million (8% of total foreign exchange earnings in 1999). This company, as one of the leading forestry enterprise in Ghana, seems to play a very significant role in this over all effort. Since its creation as a company, Samartex Ltd, has contributed the following, in the form of forest taxes, etc. to national development:
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• • •
$ 2,6000,000 in forest royalty payment. $ 3,000,000 as export taxes and levies. $ 400,000 for concession rent.
Samartex involves communities in forest planning and decision making processes. This approach called the Collaborative Forest Management has brought closer relationship with fringe communities in the planning and protection of the forest. It further offers the fringe communities employment. Under a research and development agenda, Samartex seems to have diversified into areas such as agro-forestry, processing of NWFPs (essential oils and Thaumatococus sp.) and the processing of wood residuals into carvings. In one of such projects, involving NWFPs, called the ‘Thaumatin Project,’ the company is collaborating with some universities in German, in a research work involving the use of Thaumatococus danielli, for the development of thaumatin, an identified sweetner, found to be many times sweeter than normal sugar. In this regard the company has set up a research laboratory at Samreboi, where her factory is located for promoting this work. The company seems to place a very high premium on national policies and laws as well as global agreement, which Ghana is a signatory. There are conscious effort being made towards achieving forest management certification possibly under the Forest Stewardship Council. Harvesting, Primary and Further Processing • Harvested volumes of round logs average 10 000m3 per month. This represents harvestings both from the companies own concessions and those purchased from other contractors; • The harvest plan conforms to the forty-year cycle and policies and guidelines enshrined in the Ghana Manual of Procedure (MOP) for forest management; • Logging residue and mill production off-cut and sawdust are effectively utilized in electricity generation and the production of carvings; • Logs are hauled from felling sites to log landing and sidings, using wheeled skidders in combination with bulldozers, in order to effect a reduced impact operation as much as possible. The round logs are finally conveyed by long haulage trucks to the factory for processing • All the assortments of round logs made from the harvest are then destined for the veneer mill, sawmill, plywood mill, moulding mill and the woodcarving centre. As Ghana does not allow any form of round log exports, this company appears to be maximizing as much as possible from the utilisation of most of the harvested wood fibre through various further processing initiatives. Market, Marketing and Taxes The companies products in the form of plywood and lumber are sold both on the local and the export markets. The company produces about 13 000m3 of plywood and 14 000m3 of lumber annually. Local sales constitute about 20 percent of the company’s earnings, with the remaining 80 percent originating from export to Europe, USA and Asia (particularly Saudi Arabia) . Veneer and curls section of the company, with an annual production of about 9.5 million m2 is mainly for export. The pricing of the products and their price trends are influenced by several factors, both within the company and from the markets. Hence they vary from one market to the other and are constantly fluctuating. Taxes and levies paid on our finished products for exports are as follows: 1% Timber Export Development Board (TEDB) on Gross Export Value; 2% Timber Industry Development Division (TIDD) on Gross Export Value; 7% (Customs, Excise and Preventive Service (CEPS); 3% CEPS levy on veneer. Socio-Economic Contribution Samartex directly employs over 2350 people on its operations, of which about 75 percent are from the local
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community, and provides livelihood for more than 2,000 other people. Other fringe benefits enjoyed by employees of Samartex include: • • • • •
Free medical care for employees and depend Free Lunch for worker Weekly and annual bonus for workers Study leave Free accommodation with electricity and water supply for employees
The company indicates that she is committed to the wider sustainable development objective in her operations. Hence, she is ensuring that the benefits of her operation would be felt by most of the people in the surrounding local communities. In this regard the company has prioritised education, health, road maintenance activities as her contribution to socio-economic development. The following are some of the amenities Samartex has contributed to the enhancement of the socio-economic conditions of its surrounding communities through: - Rehabilitation of a network of really 290 km feeder road in 2002 the Wassa Amenfi and Aowin Suaman Districts at a cost of nearly 2 billion cedis making it possible for large quantities of cocoa, foodstuffs and wood products to be conveyed to marketing, centres by various companies by various companies and individuals. - Rehabilitation and conditioning of a Nissan Patrol at a cost of 12 million cedis for the Tarkwa Police Headquarters for the combating of crimes in the district. - A 64-bed hospital catering for communities in the area of her operation with a population of about 10,000 people. - Supply of potable water and electricity free of charge to its surrounding communities - Scholarships for bright but needy students in Wassa Amenfi and Aowin Traditional Areas - Establishment of a gari processing factory Environmental Conservation • Riparian buffer zone As the siltation of watercourse is a major cause of water pollution and environmental degradation, the company ensures that all streams and watercourses are cleared of debris. No logging operation, takes place within a buffer strip, 25m either side of any stream or 50m on either side of any river. • Fire Precaution No smoking is permitted within and around all installations which are naturally very prone to the hazards of fire. All vehicles are equipped with fire extinguishers. • Protected Areas No form of logging activity, is permitted in all areas designated as protected area. Such areas include sacred groves, hill sanctuaries and provenance, areas which are placed under convalescent, special biological protection areas and swamps. • Oda -Kotoamso Community Agroforestry Project (OCAP) The Company in collaboration with communities in the Oda-Kotamso area, the District Assembly, Forest Services Division and Ministry of Agriculture has initiated an Agro-forestry project at Oda- Kotoamso. In the past five years, the company has planted over 500,000-tree seedling on a 200-hectre-plantation, within an off reserve areas. The project is a research into alternative livelihood activity, for the farming communities as the cultivation of cocoa is no more as lucrative as it used to be on the degraded soils. The Agro-forestry concept promoted by OCAP involves capacity building of the rural community with reference to the development of economically viable farming systems. In this project a lot
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of emphasis is placed the achievement of intensive agriculture activity on a smaller piece of land, which help discourage shifting cultivation which tends to put pressure on the remaining forest reserves. In the short term, the company is assisting the farmers to plant such crops as cassava (for gari processing) cowpeas and passion fruit. Under the same alternative livelihood programme of the company, technical assistance is also provided to some farmers in bee keeping , snail rearing and fish farming activities. The German Development Service (DED) has been providing technical support for the project since 1999. Togo – A Case Study on the State Organisation Office de Developpement et d’ Exploitation des Forets (l’odef) This state organisation of the Republic of Togo, Office de Développement et d’ Exploitation des Forets (L’ODEF), has the legal and the political mandate to be solely responsible for the management and development of all the forests of the country. It has her main office in Lome, where most of the organisations activities are directed. L’ODEF, as was set up is a public sector organisation, with a plantation development, industrial processing and commercial mandate. She was provided with an initial endowment, as seed capital for her operation, from which she was to be self-financing as well as autonomous in her operations. The mandate of this organisation originates from a Decree No.71/204 of November 1971, which among other things specified three main objectives of this entity, namely: - the management and improvement of the value of the nation’s forest resources through extension services programmes, development of all forest tree stocks and the introduction of new forest tree species; - the exploitation, processing and the marketing of such products and all the by products from such operations; - the promotion and the improvement of the wood resources as a raw material as well as the rationale use to satisfy both current and potential demands. On the strength of this mandate the activities of L’ODEF, have been organised around plantation development and management; harvesting and processing and the marketing of the products and by products. She can also collaborate with international development partners, through the provision of assistance in the realisation of this mandate. L’ODEF was created as a follow up activity of a project, whose objective was on the development of forest resources of Togo, executed from 1968 to 1970 under the auspices of the UNDP. In the course of the implementation of this project, the Government of Togo, became beneficiary to another assistance to enable the preparation of a forest development plan and an associated forest industry to be established. As at 1970, when the objectives of the first project was declared to have been achieved, there was enough evidence to also indicate that the economic tree resources available were grossly inadequate to meet the immediate and future needs of the country. In recognition of this, the Togolese Government requested for the implementation of another project with an intensive pilot-phase activity on plantation development, as a continuation to the one that had just ended. To ensure its implementation it to be assigned to a Division of Forest and Wildlife, which was revived under the Ministry of Rural Development. On the basis of this request, the FAO and the UNDP were united in their opinion to support and also modify the project to include institutional planning as a component. It was agreed to establish a functionally new organisation, with the capacity to realise the operations envisaged. It was also decided to strengthen and secure the necessary technical training for the personnel at the management level , in order to ensure the realisation of proper supervision and the implementation of the required controls in the field. It was proposed to appoint a Director General to run the affairs of the organisation and also constitute an Advisory team. It was within this agreed development orientation and framework, that the Government on the 13th Nov. 1971, enacted the decree No. 71/204 creating L’ODEF. She has operated strictly under this mandate until very
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recently in 2001, when it was thought that it should be decentralised in its activities, to make the regions and districts the implementation centres. Thus under this decentralisation perspective, a national action plan has been developed to facilitate regional reforestation active with an annually set national target of 2000 hectares of planting. This is to be achieved through the involvement and participation of the population as much as possible. Additionally, L’ODEF status as a publicly oriented development organisation, was to be reviewed to enable her function more and more as a private sector company, to facilitate the re-investments of her profits better and the injection of fresh capital. Resource Management Under her plantation development and reforestation activities, L’ODEF has ensured the establishment and the management of nurseries, which constitute production systems with their own inputs and output targets and costs. Under the management prescription of these nurseries, seedlings are produced in the quantities required for planting after the necessary site preparation works. The timing of the planting is very important, as this has to take advantage of the rather short rainy season that is characteristic of the area in general. Then once the early survival of the newly established plantation stand is assured through weed control, some further remedial works are undertaken and the resultant stock kept under intensive care and protection. In the management of these planted forest resources L’ODEF’s activities are currently centred on the maturing plantations, which is about 10 000 hectares, that she has been able set up over the years. Under the management prescriptions for these trees, silvicultural treatment operations in the form of thinning and seed collection are the main activities. The predominant tree species under most of the plantation management is Tectona grandis (teak), in association with other species such as Gmelina arborea, Cederela odorata, Terminalia superba and Eucalytus sp. The representation of teak is over 70 percent of the entire species mix of the plantations. The planting rotation for the teak is set at 45 years; the Terminalia and Cederela at 35 years, and 25 years for the Gmelina. The organisation usually tries to review, the management plans for the forest and especially those of the plantation every ten years. These plans define activities such as: -
the classification and the management prescriptions of forests by their types; respect for the national forestry laws; research into the sustained production of selected species; definition of silvicultural treatments and their functional objectives; defined prescriptions for the exploitation and harvesting of the forests through the application of yield tables based on the ecology of the forest; - conducting of natural regeneration studies; - involvement of the population in forest management; - training of personnel. In one way or the other, the outline above represent a sort of framework of rules which are used by L’ODEF and her staff for the management of both the natural and planted forests of the Republic of Togo. There are no sets of criteria and indicators, which either serve as a reference document or used in the management of these resources. L’ODEF’s system of silvicultural management are based on such prescriptions developed or carried out over the years with reference to the following: -
soil treatment and preparation prior to planting; choice of species to conform to the different soil types; choice of planting material; coppicing management; pruning and the cutting of lianes; selective thinning methods; enrichment planting.
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The extent and intensity of use of these prescriptions, has over the years depended on various factors, including how well any particular planted species is growing. In particular the growth of the teck species has been of great interest to L’ODEF. Generally the growth dynamics of the teck species, under the plantation management, shows that most of them do not conform to a homogenous pattern of growth in the rows in which in which they are planted. As a result of this the thinning interventions, are mostly based on predetermined production tables, which allow such activities to be carried out at intervals of between 4 to 5 years in the course of the 45 years rotation, as determined for this species. In the thinning intervention, L’ODEF has programmed and set an annual allowable cut, of 13 000 m3 of roundlogs production over an average area of 250 ha. The limits set for the thinning exercise in terms of surface area of the plantation varies between 50 to 300 ha. per year. In order to ensure a better coppicing activity as well as a good natural regeneration, there are specific procedures for the conducting of the post harvest regeneration surveys in the field. Usually after the harvesting of the thinnings, with special reference to the timber crop, the rejects and other residue are gather together in designated places for careful controlled burning, so that the effects of any form of wild fire would not inhibit or affect any natural regeneration processes. An inventory of such regeneration is usually done, and where the natural regeneration is found not to be sufficient, the situation is corrected through replanting of some seedlings in the spaces created. In her plantation management activities, the organisation does not use any form of fertiliser than natural organic manure. Forest protection measure with respect to the plantations are employed on the basis of the specific causal agent, identified as a source of risk to the survival of the species of trees. The plantations have not experienced the incidence of any major disease. On the other hand as the threat from wild fires are so close and so near due to cultural significance of the use of fire by the people, precautionary measures including the creation of fire belts and the carrying out of early burning activities of the surrounding vegetations are important protection prerequisites, the L’ODEF’s prescriptions on plantation management strongly emphasize. Additionally, the plantations are watched by way of surveillance, in order to alert of any emergencies and solicit for community assistance in fire fighting efforts. In order to avoid grazing, as a result of the numerous cattle nomadic herdsmen, who virtually move across country border, these people are thoroughly sensitised to desist from allowing their cattle to detour into younger plantations with species, which are palatable to the cattle. On illegal felling and deforestation, the measures adopted to abate their effects, are based on sensitisation of the village populations and the organisation of periodic patrols. In this regard, there has been the establishment of village-based surveillance committees, and also the introduction of the taungya system of planting to establishing some of the plantations, has engendered community participation in the overall protection activities. Where it has been observed that the incidence of forest degradation activities are rife, not excluding areas where such agitations stem from claims for compensation etc, a participatory approach to plantation management and care has been adopted, including the management of the surrounding natural forests, which are so identified. Almost all the areas under plantation development programme of L’ODEF, have been geographically referenced with the appropriate maps. These maps, copies of which are kept by the regional directorates of the organisation, enable them to supervise directly some of the plantation activities. Under the decentralisation plan, it is envisaged that a series of activities involving silviculture activities, which are being documented properly, would be transferred directly to these offices. Harvesting, Primary and Further Processing The current level of harvesting as programmed by L’ODEF in her thinning activities is set at 13 500m3 of roundlogs per annum. The harvesting trends in the past such as recorded in 1995, as compared to the present trends over the same area, show about 180 percent increase in the volume of wood harvested. The quality of roundlogs produced, can be described as of the average type. The current quality of the roundlogs, is attributable to the presence of knots, decayed and deformed portions, resulting from past neglect. The diameter classes achieved, for the harvested roundlogs range from 14 cm to 60 cm.
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All the thinning operations conducted are based on a harvesting plan. There are a few instances where the estimated annual allowable cut for these thinnings have been exceeded slightly, and normally this happens when for one reason or another some small areas are cleared for a better regeneration purposes. In the felling operations, no reduced impact techniques are employed, as this type of training is not currently being used by the organisation. As much wood fibre, which can be suitable for sawing is claimed from each felling and the rest is recovered for firewood. A lot of such recovered timber other than the firewood, find uses and application on the local market where some small-scale carpenters readily demand them. Transportation of the roundlogs including the sawlogs, is exclusively by road via haulage trucks, either to the sawmill or the port for shipment. They also include service or telegraphic poles. The saw milling facility of L’ODEF transforms some of the harvested sawlogs into basically sawntimber. The sawmill has attached to it a carpentry section that also tries to add value to some of the sawntimber produced. All the sawlogs required by the sawmill, are supplied from the plantation. The sawmill has an installed capacity that can process 8000 m3 of the sawlogs per annum. The saw milling technology employed in the primary processing activity is quite basic and appropriate. This consists of a combination of various circular saws, as well as multiple saw devices to achieve a recovery rate of between 37 and 40 percent. The sawmill’s annual intake is averaged at 5000m3, with a sawntimber recovery averaging 1800m3 per year. Markets, Marketing and Taxes All the sawntimber output and those from the products made by the carpenters and cabinet- makers are essentially for the local market consumption. The local demand for the primary processed products, in the form of the teak wood is so high that the mill can not easily satisfy. On the other hand the total volume of roundlogs exported, is in the range of 8 500m3 per annum, and this is also increasing being sought after, regardless of the current quality, with one of the major markets being India. The minimum export price achieved per cubic metre of roundlog is 50 000FCFA or USD 77 (at the exchange rate of 1USD= 650 FCFA). On the other hand, the maximum export price achieved per m3 of the roundlog is120 000FCFA or USD185 The export of the roundlogs attracts the payment of an export tax by L’ODEF. Apart from this tax, she has to pay income tax on all the revenues obtained from such transactions. Additionally, L’ODEF has to deposit in an account 7 percent of its revenues obtained from all her forest harvestings as a commission to be paid to the local populations. There are also various categories of trade associations who in one way or the other, either benefit from or are associated with the outputs of this organisation and hence try to influence, trade wise some of the policies of L’ODEF. Human Resources Development Programme The permanent operational staff and workers of L’ODEF consist of specialists in all the variously identified areas of and they either have a contractual relationship a arrangement with the organisation. The work ethics is based on the national code of conduct for workers in general. The various categories of staff and workers of the organisation includes: forest engineers . . . . . . . . . . . . . . . . . .6; administrative personnel . . . . . . . . . . .1; forest technicians . . . . . . . . . . . . . . . . .3; technicians . . . . . . . . . . . . . . . . . . . . . .8; general forest technicians . . . . . . . . .35; deputy gen. Forest technicians . . . . .23; other support staff . . . . . . . . . . . . . .153. As the plantation development activities are generally labour intensive, L’ODEF has over the years used a lot of temporary workers through contracting and sub-contracting arrangements, apart from her permanent personnel. The salary of a total of 269 permanent staff and workers of L’ODEF for the year 2002 was 117,4 Million FCFA. For the same period, the wages and salary of a total of 202 000 temporary workers
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hired by the organisation was 202 Million FCFA. Additionally the allowances that were paid over the same period for reforestation activities, also amounted to 27 Million FCFA. Research & Development Although the organisation, has the mandate to undertake research and development activities, she does not seem to be doing much in this direction , apart from some rather minor routine silvicultural trials which are undertaken. Sometimes in the course of her normal work schedules, some interested bilateral and multilateral agencies, visit to under a joint study programme. International Accords and Certification Most of the activities of L’ODEF, fall within the objectives and action programmes of both the ITTO, FAO and the ATO, which generally aim at the promotion of and the achievement of sustainable forest management both at the country and forest management unit levels of operation. The major strength behind the activities of the organisation is the national forestry law which was enacted in the 1940’s, but which is about to be revised, to recognise the new concepts of sustainable management of forests. There has been little or no progress made with reference to forest management certification as far as L’ODEF’s activities are concerned. She is currently discussing the possibility of initiating this in collaboration with civil society, to be considered under a framework of an ITTO projects activity. She envisages being able to initiate the process of forest management certification, through the formation of a national working group under the support of such a project. Contributions to Socio-Economic and National development L’ODEF has through her plantation development activities, and the network of access roads linking them, opened up several rural areas and connected several rural villages to the urban centres. In a partnership spirit, the organisation has financed the establishment of several social infrastructure, including the construction and rehabilitation of clinics, wells and schools, etc. In an attempt to create opportunities in alternative activities, which are related to forest management, through a participatory community approach involving off-farm/forest development activities, the organisation has initiated and facilitated the development of bee-keeping, within a house hold compound farming and the rearing of domesticated animals, as a means of improving rural household income generation The contribution of L’ODEF’s activities to the GNP and also community income can not be easily ascertained. On the other hand, the whole forestry sector’s contributed 11percent to the GNP. Additionally, the economic performance of the forestry sector for the past five years is as follows: 1997: 433 746 751 FCFA = USD 667 302.69 1998: 472 864 449 FCFA = USD 727 483.77 1999: 482 910 676 FCFA = USD 744 477.96 2000: 715 031 289 FCFA = USD 1 100 048.14 2001: 647 036 417 FCFA = USD 995 440.64 (Exchange rate : 1USD = 650 FCFA). Environmental Conservation and the Impacts of Forest Operations It is the objective of L’ODEF to minimise all forms of impacts on the environment through: - the conservation of representative formations of ecological zones through the non-clearance of such vegetations but to manage them as part of the plantation activity; - the prohibition of the use of any form of heavy-duty machinery for the for the clearing of vegetation; - the prohibition of the use of any form uncontrolled fire in the course of land clearing and preparation for planting, as a means to maintain as much ground water as possible, in addition to other advantages; - the adaptation of work to suit the natural conditions of the soils; - the creation of fire-belts to protect the forest plantations.
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As there are no forms of social auditing system or participatory monitoring and evaluation systems to provide feed backs with reference to the activities of the organisation, the social and environmental impacts can only be ascertained through the number of reports and complains received from the communities. Some of the social and environmental cost and impacts, observed as a result of the intensive plantation development, which might have contributed to the modification of the environment, is expressed in the scarcity of wildlife populations in the plantation area, especially under the teck species. The consequence is a reduction in the practice of traditional hunting activities. Future Activities In the observations of L’ODEF, the implementation of the laws and policies on forestry constitutes a major problem and challenge at almost all the sites of operation despite the fact that the state is the owner of the resource. This is because the country has very limited forest resources and the means to consistently sensitise the population and also keep any adverse action under check and control is not very much readily available. Currently, there are strong considerations to completely privatise L’ODEF, to allow the infusion of private capital, although it still maintains its original status now. In preparation towards this move, the organisation has started to decentralise her activities to most of the regions and districts of the country. These centres are being developed gradually to be able to function as expected, with the result that some of the previously planned re-investment actions in certain identified plantations, have been placed on hold. In the opinion of L’ODEF, her current operations as compared to the past, has witnessed a tremendous improvement in her community relationships, as the organisation seeks to undertake more participatory and joint development activities with the communities. On the basis of the initiation of this good will in community relations, and the insatiable demand for timber in the country, there is a need to introduce new provenances of especially the teck species, and also engage in a serious research and development activities in the area of tissue culture propagation technique for multiplication of teak clones, as well as improved root cuttings techniques for production of various forest tree species types. The organisation will also benefit from an improved system and means of controlling the collection of seeds, through a more meticulous selection from superior mother trees. Gabon – A Case Study on Rougier - Gabon Group Rougier Group was established nearly some 50 years ago in Gabon. The following dates, provide a description of some of the important landmark in the establishment and development of the company: *1953 -Acquisition by the Rougier Establishments and Son of the CINQUIN Forest company. *1975 -Transformation of the subsidiary company Rougier and Sons in Gabon into a locally established Gabonese company - Rougier Gabon. *1982 -The merging of Rougier Gabon, with a company Bois Deroules du Gabon (BDG). *1982 -Acquisition of another company -BAYER Ltd. *1982 -Acquisition of the SADER company, located at Port-Gentil; and development of the company’s factory at Owendo in Gabon. In the last 20 years, the Rougier Group, has had a strong industrial forest development objective and has more recently, incorporated the sustainable management concepts in the management of her forest permits. Rougier Gabon is a subsidiary of the Rougier Group (French Group), with other subsidiaries in the Central Africa Republic, Cameroon; and lately in the Republic of Congo. In Gabon, Rougier Gabon has actually set up four (4) operational sites: 1. 2. 3. 4.
BABYLONE in the concession of Haut-Abanga; KOUMA in the FMU of Ogoue-Ivinedo; IVINDO in the FMU of Ogoue-Ivindo; MOYABI in the Upper or Haut-Ogoue ( this concession belongs to CIPLAC, but it is being worked by Rougier-Gabon).
The total size of the natural forest concessions of the company is 600 000 hectares.
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The annual harvesting or the roundlog production is set at 285,000m3 of which around 85percent is made up of Aucoumea sp.( Okoume). As this species is one of the most abundant timber, as well as nationally cherished species in Gabon, the company derives a lot of pride to be associated with this species, which is almost part of the nation’s identity as far as her forest resources are concerned. The company has established a veneer and plywood mill, at Owendo (Libreville Port area). It actually uses around 66,000m3 of Okoume roundlogs a year. The plywood products which are essentially made from this species- “all of Okoume” , are of a very high quality and are destined for very demanding markets of the company. The installed capacity of the plywood mill is around 33,000m3 per annum. All roundlogs of Okoume are sold in batches by a state company- (SNBG), which is set up for among other things to market this species. This organisation can be said to have a partial monopoly, as far as this activity is concerned. For all other harvested roundlog species, the company, either commercialise them directly or transforms them into suitable products at the Owendo factory. A great majority of products (logs and plywood) is exported essentially to Europe and Asia. Rougier- Gabon, actually employs nearly 950 persons (based on 2002 figures), essentially in the forest sites. It is to be noted that activities, which are entirely focused on the principles of sustainable forest management, are in fact picking up gradually but very steadily. The development of such activities, are currently the preoccupation of just about 10 percent of these personnel, a majority of which are based on the forest sites. Resource Management It seems to be acknowledged that, in the broad management activities of Rougier -Gabon, the implementation of the range of activities, which would contribute to the realisation of sustainable forest management principles, is a recent consideration and input, which is being incorporated in a long tradition of good management and long-term planning activities. In order to achieve this, a series of actions were initiated by this company, and the Group in general, so as to make a steady progress towards these objective, which relate to the sustainable forest management concept. As a first step of this development process, in the Rougier –Gabon’s forest concession, a management planning feasibility study of the sustainable management of the forest concession of Upper ( Haut)-Abanga, of the size of 288,000ha, was undertaken in 1996. An analysis of these results, subsequently allowed the company to take very important decision in 1998 to endorse these principles in all her forest activities. In 1998 and 1999, the company initiated a pilot activity, to establish a forest management section within the company to be responsible for the development and the practical implementation on the ground of the principles. Activities were then initiated to undertake forest inventories in two other concessions to facilitate the development of the management plans by the end of the year 2002. In addition to this, the following other activities were included in the work of this new forest management section :- the securing of the boundaries of the forest concessions on the ground; help rationalise the demands of commerce with the natural productivity of the resource base; work toward the required elements of sustainability that will globally improve the image of the company and in the long term develop the system which will assist the company in its investment and financial deliberations and decision making as far as the management of her forest resources are concerned. Having outlined these broad objectives, Rougier-Gabon then decided to use the competency of an external consulting company -Forest Resource Management (FRM). The FRM, in the past four years, has put at the disposal of the Planning Unit of Rougier-Gabon, a full-time forest planning expert, as well as experts in mapping and socio-economic studies. FRM also provided a permanent technical assistance to Groupe Rougier, to coordinate the implementation and the documentation of all the information required in the sustainable management and the exploitation of forest concessions allocated to the Group, in the Central Africa sub-region. In the concessions of Upper-Abanga and of I’vgoue-Ivindo of the company, which were under some form of management, entirely new studies were carried out to improve the quality of management. The results of the inventories undertaken as well as the development of the field maps has helped the company, to document the different types of forest formations, including all the important biological diversity hot spots,
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and some mountaneous sites of archeological importance, which exist in most of these concessions. In the Table 4.1, some of the results of the inventory, showing the current realities, of the harvesting possibilities in some of the company’s concessions are presented. There are all indications which point to the fact that the stock of the primary species of timber is dwindling. Perhaps, the reality of the results of the inventory has initiated further actions, especially the facilitation of studies which will result in the use of a wider spectrum and range of species, to enhance the sustainability of the current operations. The consulting firm has also carried out various forms of studies in the course of trying to introduce and entrench these SFM principles in the company’s operations. Table 4.1 Determined harvestable stems of Timber species resulting from inventory studies No. of all harvestable tress Concession of Upper-Abanga 2 FMUs of Ogooue-ivindo TOTAL
524 201 502 469 1026 670
Stock of Primary Species 76 403 65 726 142 128
Currently to facilitate the process of implementation of the sustainable forest management principle by the company, records of all the forest management reference documents prepared, out of the various studies conducted and all actions in this direction have been documented. The detailed prescriptions, as they relate to any particular concession of the company, in terms of implementation, are constantly being monitored in the concessions. Some of these reference documents include: a forest management plan; forest management unit harvesting plans; a five-year action plan and annual operational plans; an agroforestry plan for the Group and an evaluation report on these management documents prepared so far. a.Forest Management Plans These consist of a collection of management norms and decisions, most of which were realised from studies conducted, serving as a reference documents for the management of the forests of the company. This is applicable for a period of 25 years, with a possibility of a review every 5-year. As far as its implementation goes, the company is about starting to allocate the different zones as identified in the plan on the ground. All the conservation areas have been identified including representative forests designated for the protection of a remarkable biodiversity hotspots, and those of fragile ecosystem areas. The areas identified suitable for the harvesting of timber, have been divided into forest management units, and all activities relating to repeated re-entry into a logged over area to harvest has ceased, as the regulations on harvesting are complied with, in order to effect as minimum as possible impacts on the forests. b.Forest management unit plans for harvesting This document details the harvesting and other exploitation modalities of a forest management unit (on a period of 2 to 8 years) and in particular, the division of such area into an annual felling plan. It is principally based on the results of the preparatory studies conducted in the course of the preparation of the management plan. c.Five Years Action Plans These are mostly related to actions which are to be implemented to realise the social and environmental aspects of the management of the resource . d.Annual Operations Plans These documents specify exploitation conditions of an annual felling plan. They are based on a precise knowledge of the ecology of the resource obtained as they are mostly based on the exploitation inventories undertaken. e.A number of management plans for variously identified conservation areas. These documents contain specific management prescription identified as relevant for ensuring the sound ecological integrity of the specific areas so identified f. Minimum Standards for forest management Rougier Gabon’s forest management system, as it relates to her forest concessions has been developed and elaborated in conformity with the requirements of principles, criteria and indicators of sustainable forest management initiatives, which are referenced to CIFOR- ATO PC&I, Keurhout Foundation, FSC, etc
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Harvesting, Primary and Further Processing In accordance with the Gabonese forestry law as approved in December 2001, the company based on her inventories conducted has to propose an annual harvesting which will be assessed and approved by the forestry authority as the annual allowable cut for the company. In the case of Rougier – Gabon this has been set to the limit of 285 000m3 per year. With the management plan defining the harvesting and forest exploitation rules, including the prescriptions in the other related documents, which virtually translates most of the operational intentions of the company to the forest personnel, the company is optimising on her harvestings, with a much more reduced impact of her forest exploitation activities, (damage caused by trees felled, erosion, etc).Some of the revelations of the studies which was undertaken in the Upper-Abanga forest management unit indicated that in 1996 the company exceeded the harvestings made by 11percent and in 1997, this was also over by 18 percent. However in 1998, the volumes harvested was 17 percent less; subsequent harvests for 1999 and 2000 were respectively 1 percent and 7 percent over the set target limit as the company consciously tries to operate within the limitation enshrined in her planning documents. The company uses the reduced impact logging method of harvesting. In an attempt to improve on the knowledge of the silviculture of this forest as regards post harvest regeneration activities, a series of studies involving a network of permanent sample plots and also regeneration trials using okoume, have been initiated. It is intended that the trials as well as some enrichment plantings that have been done will be managed, as the company adheres to the minimum diameter class limitation. These enrichment planting trials made are under a rotation of 25-years. Additionally the company’s ability to track most of her harvested roundlogs has improved tremendously due to the inventory information now available, including the use of geographical information system technology and maps of appropriate scales. It is also planned that by the year 2004, all the boundaries of the company’s concession, would be made permanent, physically on the ground, so that their maintenance will reduce illegal encroachment on the company’ resources. As part of the work of the consultants, an industrialisation plan is also prepared for each of the management plans and this is normally based on the inventory of the forest resource found to be available. This has an objective of increasing the rate of processing by 25 percent, by an improvement of the processing efficiency of the mills and even if the forest resource from the company’s own concessions are insufficient, augment with purchases from other sources. In the year 2000, the company harvested a total of 281 482m3 of roundlogs from her concessions and also for 2001, she recorded a harvest of 259 074m3 of roundlogs. In the 2001 operational year she produced 25 826m3 of plywood products. Human Resources Development Programme The company has a policy of improving the competence of her employees through on the job training and also the provision of professional training. On record she is currently providing most of her employees with housing, health and school facilities, water and electricity, satellite television facilities and a provisions subsidy. As a result of a socio-economic study which was a parallel activity undertaken in the course of the studies leading to the preparation of the management plan, the working condition as well as conditions in most of the housing and welfare facilities, are being reviewed and these are reflected in the five-year action plans. These include actions to develop more permanent and durable infrastructure both on individual and collective basis for the workers; improve the conditions relating to water quality, toilet facilities, collection and disposal of waste; improve the health facilities by equipping the dispensaries, training of the health delivery personnel for the rendering of better service, as well as training in first aid care and a follow up medical care for the employees; improve the facilities in the school as well as introduce curriculum on environmental education; subsidise and support the provision of food crops to the workers; the training of the company’s professional staff in the varies new methods of harvesting and also make available to the workers, relevant information relating to the environment; and improve the security and safety of workers in relation to accidents.
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Socio- Economic Contributions Around most of the boundaries of the company’s concession, there are about four thousand inhabitants from various local communities who do not work as employees of this company. For this reason, the company has developed two approaches of improving the relation with these people (especially the riverine communities), through either measures that promote coexistence or contributing to the establishment of an enterprise that supports their development. Thus in line with the provisions of a new law 16/01, as part of the Forestry Code, some parts of the concession which are quite close to such communities, are to be declared as community forests for their use. The size of this with reference to the Ogooue-Inindo concession is 25 000ha. Additionally, in accordance with some of the provisions of the Forestry Code, the company provides financial resources in support of some collective projects of interest to the communities. Environmental Conservation The environmental conservation activities of the company, include the following activities: • Demarcation and management of a series of conservation areas in relation to the Ivindo National Park; • Rational management of the wildlife resources against poaching; • Observance of the relevant environmental considerations in harvesting practices and also in the living conditions relating to forest camps of the workers. In the course of the work relating to the development of the management plans, it was also possible for the company to identify the fragile ecosystem areas and a series of conservation areas. These areas collectively add up to 29 900ha., which represents about 5 percent of the total area. Then in the year 2002, this Ivindo National Park was also created, by the Gabonese forestry authority, almost to the left of the Ogooue-Ivindo concession of the company, with the result that, the company lost an area of about 83 000ha to the park, which used to be part of the concessions of the company. The company participates in the management activity relating to this park. The company has always prohibited the activities of commercial hunting in most of its forest concessions, through the enforcement of strict internal measures at her forest workers camping sites; the adoption and enforcing the rules of the Forestry Code that relate to hunting; provision of alternative animal protein resources to the workers; constituting a team of anti-poaching squad to fight against such activities and their transportation; by controlling access to all the principal roads as well as closure of all secondary access roads in the concessions; and to carefully follow up on evaluation studies, conducted in relation to the management and conservation of the wildlife resources. In the view of the company, she has made very rapid progress in trying to implement the new methods of work and ways of doing things, which incorporate a lot of the principles of sustainable forest management, and has the opinion that all the concessions of Rougier Gabon will be under sustainable management as from the year 2006. La Cote D’ivoire – A Case Study on Transformation Des Bois Ivoirien (TBI) The company, Transformation de Bois Ivoirien (TBI), is a privately owned limited liability company, located in the industrial zone of Daloa, which is about 400km from Abidjan in the Western part of La Cote d’Ivoire. Its investment capital is in the range of 100 000 000 FCFA, which from all indications have been generated from purely local sources. The objective and mandate of this company is principally for the exploitation of the forest resources; primary processing through saw milling activity; importation and export of associated goods and wood products and their retailing. She is also in the business of sales of saw milling equipments and other industrial goods. The company also finances all kinds of projects. The company’s objectives are quite diversified, however with reference to the utilisation of forest resources, which seems to be one of the principal or core function of this enterprise, she engages in the exploitation of the tree resources of the forests, reforestation activities, processing of the timber, the marketing as well as the export of such wood products.
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This company is actually a successor business entity to an originally established company calledSociete d’ exploitation agricole de Bandama (SEAB). This parent company SEAB, was created in 1980 by Daouda Coulibaly, who is now deceased, with a capital of 65 000 000 FCFA, with the aim of exploiting the forest resources which were available in the south-western region of La Cote d’Ivoire. In pursuit of this same business objective, the late Daouda Coulibaly, established another company and named it, Transformation de Bois Ivoirien, through which he managed to secure and enter into a commercial exploitation agreement, for the Tectona grandis (teak), plantation resources belonging to the state in 1993.This exploitation licence, covering the harvesting of teak tree resource of the state, which were under the management of SODEFOR, an organisation of the state charged with the responsibility of establishing and managing plantations, including other things. Under the exploitation agreement, which was to be strictly under the supervision of SODEFOR, the company was to harvest the plantations some of which were ready for thinning operations and others with areas that had to be clear felled to promote new interventions. Unfortunately for the company, she lost the founder and sole owner, and therefore had to be restructured in 2000 by the merger of the two sister companies into just one, but still maintaining the name of TBI. Resource Management and Harvesting Operation In the realisation of TBI’s objectives as a forest enterprise, she had access to two main forest resources, namely plantation and natural forests. Her source of tree raw material from the exploitation agreement on the forest plantations managed by SODEFOR, which were due for a thinning intervention really served as a useful raw material base for the company. All the harvesting that was done by the company was under the supervision of SODEFOR and accordingly all the activities were based on prescriptions for harvesting developed by the state organisation, and these had to be respected. From the plantation forest operations, the TBI in 1999 harvested 11 708m3 and also harvested 13 945m3 in the year 2000. The company has two natural forest concessions located at Vavoua, which is about 50 km from Daloa, and the other at a location called Zuenoula, which is also some 70 km from Daloa. These two natural forest concessions have a total area of 80 000 ha, and are more or less humid forests with portions of savannah vegetation. From this natural forest, TBI in her operation in the year 2000, harvested a total of 22 000 m3. This was proportioned as follows: PEF No. 45520 (Vavoula .............16 000 m3; PEF No. 45002 ( Zuenoula)...........6 000 m3. Most of the harvesting operations conducted in the in the natural forest, was more or less salvage felling activities. A lot of the commercial tree species which were Iroko, had to be salvaged from lands, which were previously forests but had been turned into both cocoa and coffee plantations as well as farms. In such situations, the company had to be very selective in her choice of harvesting equipment that will effect as little damage as possible to the planted economic crops and the vegetation. In the two harvesting operations, the TBI, used the appropriate equipments that ensure, the achievement of the objectives of the harvest. In terms of the roundlogs that the company was able to harvest, about 60 percent was from the plantation and the other 40 percent was contributed from the natural forest concession. The company’s saw milling facility, usually process a majority of the roundlogs harvested especially from the natural forest concessions. For the teak thinnings, depending on the size and quality, a majority of the roundlogs were selected for export, with the rest processed locally. In the opinion of the company, the exploitation agreement on the SODEFOR teak plantation resources, enabled the company to undertake some expansion initiatives. This included the purchase and installation of kiln- drying facilities in the saw mill, which in turn created the opportunities for further processing activities for this company. With reference to the future of this industry, the TBI, is of the view that, this will depend on how well the rest of the forest can be protected from all the human encroachment, but the future she maintains lies in the tree plantation resources and their management.
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ANNEX 2 Q500 SURVEY FORM
COMAPANY BACKGROUND Name – – – – – – – – – – – – – – – – – – – – – – – – – – – – – – – – – – – – – – – – – – – – – – – – – Address – – – – – – – – – – – – – – – – – – – – – – – – – – – – – – – – – – – – – – – – – – – – – – – – –––––––––––––––––––––––––––––––––––––––––––––––––––– –––––––––––––––––––––––––––––––––––––––––––––––––––– Contact Person: – – – – – – – – – – – – – – – – – – – – – – Position: – – – – – – – – – – – – – – – Phone: – – – – – – – – – – – – – – – – – – – – – Fax: – – – – – – – – – – – – – – – – – Web page: – – – – – – – – – – – – – – – – – – – e-mail: – – – – – – – – – – – – – – – – OWNERSHIP What type of ownership is your company? Government
Tenure
Years
Private
Tenure
Years
Govt. –Private Sector Joint Venture
Tenure
Years
Private Sector
Tenure
Years
Community –owned Forest
Tenure
Years
Others
Tenure
Years
State
SUSTAINABLE FORESTRY PRACTISE Are you aware of Sustainable forestry?
yes
no
Do you practice it?
yes
no
I you do, when was it first introduced? – – – – – – – – – – – – – – – – – – – – – – – – – – – – – – – – INTEGRATION WITH INDUSTRIES If your concession is integrated please state the type of mill Sawmill Plywood Others
state
FOREST CONCESSION Where is your concession located? (State approximate direction and distance from the nearest major city) What is the size of your concession? Natural Forest . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .ha Plantation Forest . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .ha
138
STAFFING SIZE State the number of staff and workers Professional (Diploma+) Skilled Workers (Experienced) Unskilled Workers (None) TRAINING If you train your own employees indicate the type of training Certificate level Short courses Hands-on Others
State
ACCIDENTS How many accidents were recorded in the following years? 1999 2000 Do you have safety measures for the workers?
Yes
no
Natural
1999
2000
cum
Plantation
1999
2000
cum
Sawn timber
1999
2000
cum
Veneer
1999
2000
cum
Plywood
1999
2000
cum
Others
1999
2000
cum
PRODUCTION ROUND LOGS Please state figures for round log production
PROCESSED WOOD PRODUCTS Please state fiqures for processed wood products if any
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NON-WOOD PRODUCTS If you also produce no-wood products please also state them Medicinal Fruits & Nuts Bushmeat Bamboo Rattan Others SERVICES If your company provides servies in your concession please indicate Recreation/Ecotourism Conservation Carbon Sequisteration Wildlife refuge Protection Education Others
state
FOREST MANAGEMENT PLANNING Do you have a Management Plan?
Yes
If you do, please state the planning period
years
no
MANAGEMENT SYSTEM Please indicate the broad management system you are following Clear Felling Seed Tree Shelterwood Selection Coppice Coppice & Standard SECURITY & ENFORCEMENT Are there court cases involving violations of forest laws in 1999 and 2000?
Yes
no
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RESEARCH & DEVELOPMENT R&D ACTIVITIES Do you have any R&D activities? (e.g Gowth & yield sampling; species/provenance trial)
yes
no
Are there any project conducted with external or national fundings?
Yes
no
Is your forest concession certified?
Yes
no
If certified please state certifying body
yes
no
If not, do you intend to certify your concessions? years?
Yes
FOREST CERTIFICATION
no
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ANNEX 3 QS2 PROPOSED FORMAT (Generic Information) Background Information • Company identify: name, location, ownership etc. • Objectives, mandates and priorities of the company. • Structural details: type and size of activities; activity linkages and integration (e.g. of raw material production, processing, marketing); financing pattern; capital investment and other relevant features. • Brief historical background of the company: how and when started; changes in structure and stages of development; factors which facilitated development. Natural (Forest) Resource Base • Locality factors; type and extent of forest resource; volume and value of growing stock; capital value of resource; ecological characteristics. • Resource Management • Management planning: plan horizon; cycle of plan revision etc. • Minimum standards and C&1 for sustainable forest management. • Systems of silvicultural management (e.i selection, shelterwood, clearfelling, coppice) and related technical prescriptions (for the different categories of resources) and management interventions; growth and yield regulations. • Intensity of management, annual allowable cut (harvest), harvesting controls (e.g number of trees allowed to be cut). • Post harvest inventory; regeneration survey and related operations (e.g enrichment planting);tending, cleaning and sanitary operations (e.g. reduction of combustible materials, improvement fellings). • Forest protection measures: protection from fire, pests and diseases, grazing, illegal activities, deforestation and land degradation; maintenance of forest boundary. • Management information system; maintenance of management registers, maps etc. Harvesting and Primary Production • Harvest volume – current level and past trend; quality/size aspects. • Harvest plan and level of adherence. • Harvesting systems, tools and techniques (e.g. RIL) impacts and impact assessment. • Logging wastages; waste utilization plans. • Transportations systems – road transport; water transport; storage and transportation losses. • Use/Utilisation/ allocation of harvested produces – sale/export in unprocessed form ; processing in intergrated mills Processing Industries • Category of industries; sourcing of raw materials’ adequacy (or otherwise) of captive raw material production; • Size of processing facilities and technology in use; efficiency of processing. • Need for structural changes commensurate with changes in resource endowment and market requirements, quantitatively and qualitatively.
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Markets and Marketing • Local, national and export markets; quantity involved of different products (primary and processed). • Costing of logs and primary forest products used for processing in integrated operations. • Price trends for processed forest products and influencing factors. • Taxes, levies, trade controls; role of cartels. Institutional Structure of The Company • Size of the company (e.g. small, medium, large); • Structural details (e.g integrated operations; part of or subsidiary of a large group or conglomerate’ linkages with other companies; company policies and public relations. • Human resource development: work ethics’ personnel distribution by skills, job categories; facilities for upgrading capabilities; incentives (e.g bonus, pension);staff welfare; accident rate etc. • Research and development: investment in technology development; available facilities for research’ policy on acquisition of technology. • Financing: financing structure; nature of shareholding (e.g open to employees and local communities); strengths and weaknesses in financial management of the company and its impact on resources sustainability. • Commitment to global agreements, national policies and laws. • Situation with regard to “certification” (of sustainable forest resource management); other regulations/controls. • Capacity of government to enforce policy and regulations relating to sustainable forest management. • Existence of any social auditing systems or participatory monitoring and evaluation. Socio-Economic Contributions • Social benefits generated by the company: local employment (direct and indirect); off farm income earning opportunities; improved infrastructure (roads, electricity etc); other social amenities and facilities (schools, hospitals etc); technology development. • Social costs: pollution, deforestation, land degradation, cultural impacts. • Contribution to GNP (and community income); economic performance of the company during the last 5 to 10 years Environmental Conservation • Company policy, plan and action on environmental conservation, observance of environmental standards and prescriptions (e.g no-burn land preparation); share of company expenditure set apart for environmental conservation. Conclusion and Findings • Including a summary of strengths and weaknesses, lessons drawn from experience, likely scenario for future form the point of view of suitable forest management and suggestions for enhancement.
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ANNEX 4 SOME Q500 RESPONSE CHARTS 4.1.A. Management plan WEST AFRICA
4.1.A. Management plan CENTRAL AFRICA
5 4 3
YES
2
NO
1 0 CAMEROON
GABON
RCA
CONGO
35 30 25 20 15 10 5 0
YES NO
COTE D'VOIRE
4.1C. Management plan AFRICA
40
GHANA
TOGO
4.1.2A. Consistency of Management plan with ITTO Guidelines CENTRAL AFRICA 4
30 YES 20
3
NO
YES
2
NO
10
1 0
CENTRAL AFRICA
0
WEST AFRICA
GABON
4.1.2B. Consistency of Management plan with ITTO Guidelines WEST AFRICA 30 20
YES
10
NO
0 GHANA
TOGO
COTE D'VOIRE
35 30 25 20 15 10 5 0
CAMEROON
YES NO
4.2A. Forest types CENTRAL AFRICA Tropical Rain Forest Swamps/ Wallands Forest plantation Other
1,500,000 1,000,000 500,000 0 GABON
CAMEROON
RCA
CONGO
WEST AFRICA
4.2B. Forest types WEST AFRICA 12,000 10,000 8,000 6,000 4,000 2,000 0
Tropical Rain Forest Swamps/ Wallands Forest plantation Other COTE D'VOIRE
GHANA
TOGO
4.3A. Broad Management System CENTRAL AFRICA
4.2C. Forest types AFRICA
3,000,000
CONGO
4.1.2C. Consistency of Management plan with ITTO Guidelines AFRICA
CENTRAL AFRICA
2,000,000
RCA
2,500,000
4 Tropical Rain Forest Swamps/ Wallands Forest plantation Other
2,000,000 1,500,000 1,000,000 500,000
3 Seed Tree Selection Coppice & Standart Other
2 1
0 CENTRAL AFRICA
WEST AFRICA
0
GABON
CAMEROON
RCA
CONGO
144
4.3A. Broad Management System WEST AFRICA 30
30 Clear Felling Seed Tree Selection Coppice Coppice & Standard Ad - hoc
25 20 15 10 5 0
4.3C. Broad Management System AFRICA
30 25 20 15 10 5 0
20 15 10 5 0
WEST AFRICA
CENTRAL AFRICA
4.4A. Minimum acceptable standard (C&I) CENTRAL AFRICA
Clear Felling Seed Tree Selection Coppice Coppice & Standard Ad - hoc Others
4 3 YES
2
NO
1 0 GABON
WEST AFRICA
CENTRAL AFRICA
Clear Felling Seed Tree Selection Coppice Coppice & Standard Ad - hoc Others
25
GHANA
TOGO
COTE D'VOIRE
4.3C. Broad Management System AFRICA
4.4B. Minimum acceptable standard (C&I) WEST AFRICA
CAMEROON
CONGO
RCA
4.4C. Minimum acceptable standard (C&I) AFRICA
40
40
30
30
YES
20 10 0
CENTRAL AFRICA
GHANA
4.4 1A. Annual allowable cut CENTRAL AFRICA
4
NO
10 0
TOGO
COTE D'IVORE
YES
20
NO
WEST AFRICA
4.4 1B. Annual allowable cut WEST AFRICA
40 30
3 YES 2
YES 20 NO
NO 10
1 0
0
GABON
CAMEROON
RCA
CONGO
TOGO
GHANA
4.5A. Harvesting Plan CENTRAL AFRICA
4.4 1C. Annual allowable cut AFRICA
35 30
COTE D'VOIRE
8 6
25 20 15 10 5
YES
4
NO
2
YES NO
0 GABON
0
RCA
CONGO
WEST AFRICA
CENTRAL AFRICA
4.5B. Harvesting Plan WEST AFRICA
4.5.2A. Pre-harvesting inventory CENTRAL AFRICA
7 6 5
40 30
10
4
YES
3
NO
YES
2
NO
1
20
0
CAMEROON
0
COTE D'IORE
TOGO
GHANA
GABON
CAMEROON
RCA
CONGO
145
4.5.2B. Pre-harvesting inventory WEST AFRICA
35
4.5.2C. Pre-harvesting inventory AFRICA
40
30 30
25 20
YES
15
NO
20
YES NO
10
10
5 0
0
4.5.3A. Road planning CENTRAL AFRICA
8 7
CENTRAL AFRICA
4.5.3B. Road planning WEST AFRICA
30 25
6
20
5 4 3
YES
15
NO
10
YES NO
5
2
0
1 GABON
35 30 25 20 15 10 5 0
CAMEROON
GHANA
CONGO
RCA
4.5.3C. Road planning AFRICA
4.5.5A. Provision for stream buffers CENTRAL AFRICA
4 3
YES
YES
2
NO
NO 1 0
GABON
WEST AFRICA
CENTRAL AFRICA
4.5.5B. Provision for stream buffers WEST AFRICA
CONGO
RCA
CAMEROON
4.5.5C. Provision for stream buffers AFRICA
25
25
20
20 15
15
YES
10
NO
YES
10
NO
5
5 0 TOGO
COTE D'IORE
0
GHANA
4.5.6B. Directional felling WEST AFRICA
25
4
WEST AFRICA
CENTRAL AFRICA
4.5.6A. Directional felling CENTRAL AFRICA
5
20
3 2
YES
15
YES
NO
10
NO
5
1
0
0
COTE D'IORE
GABON
CAMEROON
RCA
TOGO
GHANA
CONGO 4.6A. Post –harvest regeneration survey CENTRAL AFRICA
5
4.5.6C. Directional felling AFRICA
4
20 15
YES
10
NO
5 0
TOGO
COTE D'IVORE
0
25
WEST AFRICA
GHANA
TOGO
COTE D'IVORE
3
YES
2
NO
1 0 GABON
CENTRAL AFRICA
WEST AFRICA
CAMEROON
RCA
CONGO
146
4.6B. Post–harvest regeneration survey WEST AFRICA
30 25
4.6C. Post–harvest regeneration survey AFRICA
35 30
20
25
15 10
YES
20
NO
15
YES NO
10
5
5
0
0 WEST AFRICA
CENTRAL AFRICA
TOGO
COTE D'IORE
GHANA
4.6.1A. Regeneration system CENTRAL AFRICA
6 5
Natural reganeration Erichment planting Replanting for plantation Other
4 2 1
4.6.1B. Regeneration system WEST AFRICA
25
Natural reganeration Erichment planting Replanting for plantation Other
20 15 10 5 0 COTE D'IORE
0
4.6.1B. Regeneration system WEST AFRICA
25
TOGO
GHANA
RCA
GABON
4.6.1C. Regeneration system AFRICA Natural reganeration Erichment planting Replanting for plantation Other
20 15 10 5 0 COTE D'IORE
TOGO
GHANA
25 20 15 10 5 0 CENTRAL AFRICA
4.6.2B. Other Cilvicultural treatments WEST AFRICA
4.6.2A. Other Cilvicultural treatments CENTRAL AFRICA 2
Climber cutting Cleaning
1
Tree Girdling Others
1 0 GABON CAMEROON
RCA
CONGO
WEST AFRICA
Natural reganeration Erichment planting Replanting for plantation Other
25 20 15 10 5 0
Climber cutting Cleaning Tree Girdling Others COTE D'IORE
TOGO
GHANA
SESSION II – ASIA-PACIFIC CHAIRMAN: RICHARD B. McCARTHY
Sustainable Management of Tropical Forests – Private Sector Experiences
REGIONAL REPORT ON PRIVATE SECTOR EXPERIENCES IN SUSTAINABLE FOREST MANAGEMENT IN THE ASIA-PACIFIC REGION RAPPORT REGIONAL SUR LES EXPERIENCES DU SECTEUR PRIVE EN MATIERE D’AMENAGEMENT FORESTIER DURABLE DANS LA REGION ASIE-PACIFIQUE INFORME REGIONAL SOBRE LAS EXPERIENCIAS DEL SECTOR PRIVADO EN MATERIA DE ORDENACIÓN FORESTAL SOSTENIBLE EN LA REGIÓN DE ASIA-PACÍFICO
C. Chandrasekharan ITTO Regional Consultant
EXECUTIVE SUMMARY The Project PD 48/99 Rev 1 (M,F), Sharing of Information and Experiences on Private Sector Success Stories in Sustainable Forest Management, is jointly funded by ITTO and the Government of Malaysia. This project aims at promoting sustainable management of tropical forests by facilitating access to, and enhancing awareness of, information and experiences regarding sustainable forest management at country level.
Scope of the Study Sustainable Forest Management The emphasis of this study is on Sustainable Management of Forest Resources. Resources are scarce inputs that can yield utility through production or provision of goods and services. A free good is characterized by unlimited supply. Many goods, which were once considered free, such as wood, fish and fresh water, have become scarce over time, with drastic increases in their use, often wasteful use, along with population and income growth. Inefficiency in resource allocation has exacerbated the scarcity situation. Unsustainable management and utilization of forest resources have been the cause of great concern, in view of their environmental and socio-economic impacts and implications. Inspite of several global, regional and national level initiatives to achieve SFM, deforestation and forest degradation still continues on an unacceptable scale that threatens to upset the earth’s environmental balance, and inflicts serious ecological wounds. As defined by ITTO (1998), Sustainable Forest Management is the process of managing forests to achieve one or more clearly specified objectives of management with regard to the production of a continuous flow of desired forest products and services, without undue reduction in its inherent values and future productivity and without undue undesirable effects on the physical and social environment. Sustainable Forest Management involves planning the production of wood and non-wood products for commercial purposes, as well as meeting local needs. It includes protection, or setting aside areas to be managed as plant or wildlife reserves, for recreational or environmental purposes. It ensures that conservation of forestlands for agriculture and other uses is done in properly planned and controlled way; it covers the regeneration of wastelands and degraded forests and establishment of forest plantations; it promotes integration of trees in farming landscape and agro-forestry; it calls for improved research and participatory planning; it covers prevention and mitigation of fires and restoration forestry. In short, Sustainable Forest Management is specific and practical action for translating the concept of sustainability into reality in forestry. This calls for the use of forest goods and services at levels that do not change the environment (including elimination of wasteful consumption), and within the regenerative capacity of forest estate. Bringing forest harvests to sustainable levels, improving management practices, enhancing forest conservation, providing forest-derived benefits to a broader range of people, and offering non-distortionary incentives to individuals and corporations to encourage development of forest resources are all elements of a viable forest management system. Sustainable Forest Management is an enormous task involving money, manpower, materials and management. Governments have increasingly given the responsibility for Sustainable Forest Management to a broad range of private sector institutions; and that sector is undergoing both structural and functional changes. All activities for production and utilization of forest goods and services and conservation of forest resources would fall under the purview of this study, covering wood products (from natural or planted sources), non-wood forest products, recreation experiences and environmental services.
Private Sector Private sector, for the purpose of this study, does not necessarily mean (only) individual or private corporate ownerships. It includes all autonomous entities (with administrative and financial freedom), whose functioning follows business management principles of efficiency, decentralization of decision powers, transparent accounting system, mobilization of resource through multiple/competitive sources and is delinked from bureaucratic rules and regulations in its day to
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Sustainable Management of Tropical Forests – Private Sector Experiences day operations and affairs. Thus, government-owned companies/corporations, public trusts/boards/foundations, cooperative institutions, local membership organizations, NGOs and independently functioning projects and programmes can all be brought under the coverage and scope of the private sector.
Success Stories Success stories are those which would meet certain success criteria. But it is not always practical for any company/entity to fully qualify in respect of all different criteria which depict an ideal case. Criteria can, often, be conflicting – e.g. conservation vs meeting basic/local needs. When you score success in one, you fail in the other. As already mentioned, this project is concerned with sharing of information and experiences; and even a case of failure can often provide a useful lesson or experience. Cases of partial success should surely qualify for our consideration. The following, among others, were used as criteria for assessing success in sustainably managing the tropical forests: -
System of long, medium and short-term plan exists Annual allowable cut established Management information system is in operation Forest management units are clearly specified Management is based on forest inventory Reduced impact logging is being practiced Minimum acceptable standard of environmental conservation has been prescribed and adhered to Production is consistent with silvicultural systems Protection measures are in place to control pests, diseases, fires etc Ability to attract viable investment is in evidence Social equity obligations are fulfilled Appropriate and non-distortionary incentives are adopted Effectiveness of monitoring and certification systems is ensured
Project Activities The project was started in September 2001. The duration of the project originally envisaged was 26 months. However, there has been some delays. The project activities have been divided into stages: Planning and Surveys; Case Studies; International Conference; Dissemination of Conference Findings.
Survey The prime task envisaged for Stage I was a Questionnaire Survey (Q500) intended to obtain responses from 500 companies/entities globally, on aspects relating to Sustainable Forest Management. This stage was completed by the end of July 2002. A report providing details of implementation and outcome of Q500 Survey, was submitted to project authorities in September 2002. The Questionnaire Survey (Q500) sought independent, written responses from a large number of companies/entities involved in the management of forests and/or forestry enterprises. 82 responses were received for the 548 questionnaires mailed, in the Asia-Pacific Region. While the response rate was low and below expectation, it was not at all disappointing. 86% (i.e. 71 out of 82) of the responses were of good quality and contained very useful and interesting information, covering a wide range of situations – fully adequate for continuing with the study. To that extent, the results of Q500 in the Asia-Pacific region was encouraging. There are several reasons for the poor response: • •
•
In the recent past, several logging concessions have been closed down, and several of the addresses, to which Q500 was sent, were non-existent. Many of the questionnaires came back undelivered. Many of the operators are involved in mining of timber and are not interested in answering the questionnaire truthfully. The issue is non-observance of Sustainable Forest Management. This is particularly an important factor in Indonesia, as informally confirmed by some company officials themselves. The concessionaires are afraid of the NGOs. Even the good ones try to avoid limelight, fearing that the NGOs may question the veracity of their claims. Probably, the response rate may show some improvement if respondents can be guaranteed confidentiality.
Sustainable Management of Tropical Forests – Private Sector Experiences •
• • •
Reluctance to get associated with intergovernment/international agencies. For example, one country was not happy with an article appeared recently in the Tropical Forest Update, suggesting rampant illegal logging in that country. Requirement on the part of some governments that the questionnaires should be sent and replies received through a designated government agency. In several cases (e.g. Philippines) the period of the remaining concessions/contracts are about to be over and there is uncertainty about renewal. In other cases, the concession system is in its infancy (e.g. Cambodia) with all its teething troubles.
Analysis of Responses The responses received to the different questions were tabulated and analysed for assessing the performance standard in forest management, covering: nature of ownership and area involved; forest types; understanding about sustainable forestry practice; integration with industries; nature of forest concessions; staffing and human resource development; safety and welfare of workers; production of logs; wood products, NWFPs and forest-provided services; management planning; silvicultural systems and practices; environmental standards and controls; harvest planning and regulations; bio-diversity conservation; social contributions and services; compliance to legal requirements; research and development; and forest certification. The analysis indicated clearly that in a majority of cases forest management is inadequate and, often, unsustainable. In a number of aspects, there were conspicuous gaps between policy (or principles) and practice. The plans are, in several cases, not implemented. The general lesson that could be drawn is that without bridging the gap between policies/planning and practice, Sustainable Forest Management cannot be ensured on a large/national scale and on a long-term basis.. At the same time, it was heartening to note from the responses received that some 25% of forest managers/entrepreneurs are committed to the cause of sustainable forestry. The excellence of the minority is a matter which gives hope for the future.
Screening for QS2 Based on responses to the Questionnaire, the responding companies screened, for identifying candidates suitable for detailed profiling in Stage 2 (QS2). 22 companies/institutions out of the 82 were found qualified, in the screening process. The screening adopted a process of successive elimination of those found deficient in relation to sustainability criteria (such as: not following sustainable forestry practices; not having management planning system; having no harvest plan; not adopting minimum standards and controls like annual allowable cut; lacking in professional and trained manpower; and showing great discrepancy in responses to different questions). The intention was to ensure that the performance of the candidates (companies) chosen is technologically correct, socially responsible, environmentally appropriate and economically efficient. Considering the need for stratifying the samples to be profiled and based on the need for balancing geographic coverage, resource and product categories, type and size of management operations and so on, 12 companies (from 5 countries – India, Indonesia, Malaysia, Papua New Guinea and Philippines) were selected for the Stage 2 study. Apart from meeting the major sustainability criteria adopted in the screening process, the cases selected are also those which have addressed some of the problems commonly found in the forestry sector – i.e., those underlining the need for : meticulous planning and methodical implementation; consistency as shown in the longevity of sustainable service; research and technology development; dynamic approach to sustainable development through enhancement of productivity; innovative approaches; emphasis on socio-economic and environmental benefits; people’s participation in planning, implementation and benefit sharing; transparency and stakeholder consultation; improved and participatory institutional structures; and capability for adjusting to changing situations. As indicated, the selected cases (companies) represent a range of situations with regard to size, product mix, management system adopted, method of harvesting operations, tenurial arrangement, source of investment (company ownership), utilization of harvested produce, market for products, and experience (period of existence) of the company.
Variety of Cases Chosen The companies selected for detailed profiling represent a range of situations, and historical evolution encountered in forestry management and development, in the region: -
An interesting feature of ITC Bhadrachalam Paperboard Ltd. in India is the sponsorship and initiative of the company to promote outgrower (small farmer) involvement to produce pulpwood from genetically improved and high yielding varieties of pulpwood species, with emphasis on science and technology, outreach programme, buy back arrangement and social interaction.
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Madhya Pradesh State Minor Forest Produce (Trade and Development) Co-operative Federation Ltd., an autonomous body, is involved in the development of non-wood forest products, covering mostly the deciduous tropical forests of the Madhya Pradesh State of India, with the active participation of a large number of primary producer’s co-operatives in resource management, harvesting and trade. PT Suka Jaya Makmur is a privately operated forest concession in West Kalimantan Province of Indonesia, comprising entirely of tropical rain forest (with some marginal shifting cultivation), producing veneer, laminated board, block board, moulding and lumber core; the company keeps up a high standard in its forest management practices. PT Inhutani II is a State owned forestry enterprise and its area of operation in Malinau, East Kalimantan, Indonesia is now facing new legal and social problems resulting from the “decentralization” process and the local community claiming “adat” rights over the natural resources. PT Sari Bumi Kusuma is a privately operated concession, located somewhat remotely (about 460 km away from Pontianak) in Central Kalimantan province of Indonesia, and essentially comprised of tropical rain forest; forests are managed under a system of selective cutting and strip planting. Logs produced are processed into sawn timber, moulding and commercial plywood. The company’s commitment to support local community development makes it a unique operation. PT Bina Lestari I (Riau) is a privately operated mangrove concession, located in Riau Province of Indonesia, managed under selection system for producing mangrove chipwood. The company had also taken up forest plantations to supplement the resources. This is also a case where, recently, an overlapping timber permit has been issued by the local (Kabupaten) government, and the difficulties with the decentralization process have lead to closing down of operations by the company. Samling Plywood (Baramas) Sdn Bhd is a privately operated forest concession located in Sarawak, Malaysia, using part of its log production for producing plywood. The concession area comprises tropical rain forest, having shifting cultivation over about 15% of the area. Forest management follows sustainability criteria. Perak State Forestry Department (Malaysia) operations in mangrove forests (Matang mangroves), covering an area of about 40,000 ha. is an integrated activity, to sustainably produce wood and non-wood forest products. Main product is charcoal and silvicultural system being followed is clear felling followed by natural and/or artificial regeneration. This is a unique case of about 100 years of successful practice of Sustainable Forest Management. Vanimo Forest Products Ltd. in the Sandaun Province of Papua New Guinea is a private operation undertaken by a multi-national corporation on contract with the Government, within the Timber Rights Purchase System. The forest covered in the contract is customarily owned by the tribal communities, and is comprised of tropical rain forest. Log harvest follows a system of selective cutting. Logs are partly converted into sawn timber at the company sawmill. The entire operation is export-oriented. Wawoi Guavi Timber Company (RH Group) in the remoteness of the Western Province of Papua New Guinea is an operation which has integrated log harvest with production of sawn wood and veneer for export, requiring considerable investment on infrastructure. The group’s activities are of a wide-ranging nature. Turama Extension FMA 1 to 3 (Prime Group Holdings) in the Gulf Province of Papua New Guinea is involved in log production for export in an area which has negligible pressure of population. Log production is based on a selective cutting system, leaving behind an acceptable level of residual stock. Pacific Timber Export Corporation of Philippines operates a timber licence (concession) over an area of about 34,000 ha of tropical rain forests under a strict selection system of management; wood produced is processed into sawn-timber, plywood and builders wood works. The present licence period will expire in about 3 years and continued operation beyond that is uncertain. The concession operation is also constrained by illegal activities and threat of insurgents.
Detailed profiling of these cases was carried out over a period of 8 months, October 2002 to May 2003. The exercise, particularly evaluating the performance of these selected cases against the overall situation in the sector, provided a wealth of information and insights into the functioning of the private sector in forestry including strengths, weaknesses/constraints, opportunities/ potentials and threats being faced.
Regional Forestry Situation Asia (West, Central, South, South East and East) and Oceania together account for 746 million ha of forests, comprising 626 million ha of natural forests and 120 million ha of forest plantations.
Sustainable Management of Tropical Forests – Private Sector Experiences Regional Distribution of Forest Area, 2000 Total Forest (Natural Forests & Plantations) Region
Asia Oceania Asia-Oceania World
Land Area (Million ha) 3,085 849 3,934 13,064
Area
% of Land Area
548 198 746 3,870
18 23 19 30
% of World’s Forests 14 5 19 100
Natural Plantation Forest Area Forest Forest Per capita (Million ha) (Million ha) (ha) 432 194 626 3,682
116 4 120 187
0.15 6.58 0.20 0.65
Source: FAO (2001): Forest Resources Assessment 2000 In terms of wood and biomass volume, the average for Asia is 63 cum/ha and 82 t/ha, and for Oceania 55 cum/ha and 64 t/ha, against the global average of 100 cum/ha and 109 t/ha, respectively. Global total of wood and woody biomass volume are 386 billion cum and 422 billion tones respectively.
Changes in Forest Areas As forests were converted into other forms of land uses, and improperly managed, there has been continuous fall in forest area. The compensatory efforts to rehabilitate degraded forest land, and to afforest bare and otherwise unproductive lands, have not been able to adequately neutralize and counter-balance the loss of natural forest. The rate of change in net area under forest in Asia and Oceania has shown considerable improvement, particularly due to increased afforestation activity through people’s participation. Forest Area Cover Change in Asia and Oceania, 1990-2000
Region
Total Forest 1990 (000 ha)
Total Forest 2000 (000 ha)
Annual Change (000 ha)
Annual Rate of Change (%)
Asia Oceania Asia-Oceania
551,448 201,271 752,719
547,793 197,623 745,416
-364 -365 -729
-0.07 -0.18 -0.10
Source: FAO (2001): Forest Resources Assessment 2000 • • • • • •
•
Some of the aspects to be flagged, relating to the situation of forestry in the region are the following: General weaknesses/inadequacies of institutions and institutional instruments – i.e. policies, legislation, organizational structure, plans and programmes, R&D and M&E systems and so on. Tenurial uncertainties and conflicts, particularly regarding the rights of indigenous communities. Lack of strategies for managing the increasing extent of degraded and secondary forests. Chronic shortage of funds for forestry activities; dependence on donor assistance; and lack of investment in technology development. Lack of information (almost virtual ignorance) about global hot topics such as impact of climate change on forests, CDM, carbon management (sequestration, conservation and substitution) strategies, bio-diversity resources and so on, at the local relevant levels. Widening gaps in Sustainable Forest Management and narrowing options to address them.
Situation of ITTO Producer Member Countries in the Asia Pacific Region There are ten (10) ITTO producer member countries in the Asia-Pacific region, namely: Cambodia, Fiji, India, Indonesia, Malaysia, Myanmar, Papua New Guinea, Philippines, Thailand and Vanuatu. The situation in these countries varies considerably in many of the aspects relating to forestry, such as: -
resource endownment, forest ownership, management systems and capability, level of forest product processing and utilization, trade in forest products and institutional arrangements. While Cambodia, Indonesia, Malaysia, Myanmar and Papua New Guinea are producers and exporters of tropical wood and wood products, India, Philippines and Thailand have suffered heavy resource loss during the last 4 or 5 decades and have become net importers of wood and wood products. Fiji and Vanuatu have an acceptable percentage of land
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under forests, but being small and fragile island ecosystems, sustainable management of the forest resource is particularly important for these countries. While these variations and specificities are dictated by their history, demography, political system and geographic location, the countries also share a number of common issues linked to the involvement of private sector in forest resource management and deficiencies in public forest administration. These, among others, include: unscientific management (cutting outside AAC, specified species, size classes and allotted area); lack of appropriate landscape management; illegal activities; concealed subsidies, inadequate rent capture; inadequate backward and forward linkages; distortion of people-forest relationships; avoidance of social obligations; unconcern for nature and undue concern for monetary benefits; maximising private benefit at undue and avoidable cost to society. As much as there is difference in the land area of the 10 countries (India having 297.3 million ha of land and a population of over a billion, and Vanuatu with 1.2 million hectares of land and a population of 186,000), there is variation in the population density among the countries – India having 335.7 persons per square kilometer at the high end and PNG having only 10.4 persons per square kilometer at the low end. India, Philippines, Thailand and Indonesia in that order have a population density of over 100 persons per square kilometer; the first three countries have badly depleted their natural forest resources, and Indonesia is already showing symptoms of serious pressure on its forest land.
Forest Resource Endowment Among the ITTO producer member countries in the Asia-Pacific region, six countries (Cambodia, Fiji, Indonesia, Malaysia, Myanmar and PNG) have more than 40% of their land area under forest. Forestry in these countries have a high share in GDP and trade. Forestry in PNG, Indonesia and Malaysia have a share of over 10% in GDP. In Cambodia, forest products have a share of 43% in merchandise trade, followed by Myanmar (35%), Fiji (13%) and Indonesia(12%). Countries such as Cambodia, Indonesia, Malaysia, Myanmar and PNG have considerable forest resource endowment and have already developed, or have the potential to further develop, significant forest industries. These countries will have a particularly important influence and role in the future of forestry in the region. While Indonesia has the largest extent of forest in absolute terms, Malaysia is in the lead in terms of crop condition represented by growing stock volume and quantity of above-ground biomass. It may be noted that while the volume of growing stock is partly dependent on the type of forest and land involved, in most part it results from the quality of forest management. Among the ten ITTO producer member countries in the Asia-Pacific region, Philippines, India and Thailand have the lowest percentage of land under forest (and also the lowest per capita availability of forest land). Forests in these countries have also undergone considerable degradation.
Forest Plantation Development Some of the above countries has a long history and tradition of raising forest plantations (e.g.: India, Indonesia and Thailand). For some others, raising forest plantation is a recent development. Plantations account for 50.8% of India’s forests. 33% of Thailands’ forests are plantations. Countries with low forest cover tend to have a higher percentage of its forests under plantations. In the country with largest percentage of land under forest, namely Papua New Guinea, plantations account only for 0.3 percent.
Analysis of the Cases and Country Situation The five countries (where from the cases have been selected) together, seem to exhibit a sequence of stages, in the field of forestry – low population pressure, forest exploitation for financing development, expanded logging activities going out of control, increasing level of illegal activities and deforestation, forest governance becoming weak and succumbing to corruption, shrunken forest made (often, ineffectively) out-of-bounds for use and people /farmers start “cultivating” forest trees to meet market demand. In country after country, the trend seems to be repeating. There may be some differences in the actual paths taken; but general direction appears to be the same. India has about reached the final stage of the march; and is being closely followed by Philippines with Indonesia not far behind it. Malaysia has taken hesitant decision to stop the march or to go at a slow pace. PNG has just started on the march and seems to think that it has inexhaustible resource, to last for ever. Considering the facility to move logs easily and speedily across oceans, PNG’s logging activities can also go out of control and the country can slide fast along the path to catch up with others ahead – unless it can break the trend with determination. Some of the important similarities among, and/or between, the “case study” countries are the following: •
All the five countries have realized the importance of involving local community, and the need to follow criteria and indicators for Sustainable Forest Management.
Sustainable Management of Tropical Forests – Private Sector Experiences • •
•
•
In these countries, the rights of indigenous communities on the forest resource have not been settled and this is causing conflicts, tensions and confrontations. India has banned logging in natural forests and Philippines in old growth forests. In both these countries wood processing units are increasingly depending on wood from non-forest sources, and on log imports. In Java (Indonesia), some of the mills are using wood grown in farms and homesteads. There are common land boundaries between Indonesia and Malayais, and between PNG and Indonesia. Cross border movements of illegal logs have been alleged, mainly from Kalimantan, Indonesia into Sarawak, Malaysia. The major exporters of wood and wood products (i.e. Indonesia and Malaysia) have established arrangements for certifying FMUs, as well as for product certification. For the other countries this does not seem to a priority.
The Cases As already mentioned, the 12 cases of “private sector success stories”, are selected from five of the ITTO producer member countries in the region, and they cover a wide range of situations and activities – forest concessions owned by national companies; forest concessions owned by multinational companies; forest production carried out by Public Forest Administration in government-owned reserve forests employing short-term contractual instruments; clonal tree planting by farmer groups, sponsored and supported by a paper and paperboard manufacturing company; and a federation of primary co-operative societies engaged in collection and marketing of non-wood forest products. The scope of these cases covers: log production for export; log production for local processing; mangrove wood production for wood chip production; management of mangroves for producing poles and charcoal; development of high yielding clonal tree farms in private lands; and production, processing and marketing of non-wood forest products. Most of them (9 cases) are doing fairly well at present and others (3 cases) are in the process of phasing out and moving into alternative forest-based activities. Of the 12 cases of the Asia-Pacific region, 6 will be showcased and presented at the ”International Conference on Sustainable Management of Tropical Forests – Private Sector Experiences” in Kuala Lumpur, Malaysia, 13-15 April 2004.
The Indian Cases The two cases studied in India are related to participation of people and community in forestry (pulpwood and non-wood forest products) development.
The Outgrower Farms of Clonal Trees of ITC Bhadarachalam Paperboards Ltd. A striking feature of this case study is the initiative of a private company involved in manufacture of paperboards and speciality paper to promote outgrower (small farmer) involvement to produce pulpwood from genetically improved and high yielding varieties of pulpwood species. When the company established the paperboard mill in Sarapaka in the Andhra Pradesh State, it had the commitment of the Government of Andhra Pradesh to supply the required raw material (bamboo and hardwoods) from the government forests. With continuing deforestation and forest degradation, and consequent forest policy changes restricting wood removal from natural forest, the raw material source on which the company had relied was closed. To save their investment, the company had to find alternative sustainable raw material sources. This critical need prompted the company to promote tree planting by farmers, using high yielding clonal seedlings, mainly of Eucalypts. These clonal plantations or tree farms can be managed on a 3-4 year cutting cycle. The clonal Eucalypts can stand four coppice cuttings, before being replanted. Experience has shown that the mean annual increment (MAI) of clonal plantations of Eucalyptus spp range between 20 and 58 cum per ha per year; and the farmers are able to earn a net profit of Rs.50,000 to Rs. 150,000 per ha, depending on site quality and management inputs, in the first cutting, 3 years after planting. Profits increase in the subsequent cuttings, since the cost involved in maintaining a coppice crop is lower. Further, since the tree farms are raised under as system of agroforestry, additional income will be earned from the harvest of the agricultural crop. The forest research unit of the company carries out trials on genetic improvement of the planting stock and slvicultural/agroforestry practices (e.g. spacing of planting rows, type of inter-crop) to be adopted. The company supplies clonal seedlings for planting to the farmers, along with continuing extension services. Further, the company guarantees to buy the pulpwood produced by the farmers at a fixed floor price which is revised periodically. Currently the tree farms within economic distance from the mill are able to supply only about 40% of the pulpwood required by the mill. It is the expectation that the company will be able to source its entire pulpwood requirement from the clonal tree farms in the selected districts of Andhra Pradesh State.
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Sustainable Management of Tropical Forests – Private Sector Experiences Some of the important aspects of the case which entitles it to be qualified as a success are: voluntary mobilization of investment for tree farm development; research, technology development and extention support by the company; increased productivity of clonal plantations; employment and increased income for local people; reduction of pressure on natural forest for raw material; and, mutually beneficial collaboration between the company and farmers.
M.P State MFP (Trade and Development) Co-operative Federation Ltd. Madhya Pradesh State Minor Forest Produce (Trade and Development) Co-operative Federation Ltd., an autonomous body, is involved in the development of non-wood forest products, covering mostly the deciduous tropical forests of the Madhya Pradesh State of India, with the involvement of the large number of primary producer’s co-operatives, in resource management, harvesting and trade. The prime purpose of the MP-MFP-CFL, established in 1984 is to save the MFP collectors from the clutches of middle men and to empower the community in managing their own affairs through appropriate institutional arrangements; and, to ensure that the resources are sustainably managed and protected. Following a pyramidal structure, the MP-MFP-CFL, is comprised of 1,947 Primary Societies (with a total membership of 5 million MFP gatherers) formed into 58 District MFP Co-operative Unions and a National Apex body. The rights and privileges of the members of the primary societies, their responsibilities in terms of managing the resources and delivering the products at the collection centers, payment of wages and sharing of benefits equitably, and the functions and roles of the higher level bodies in the hierarchy have all been specified in the Memorandum of Association. Participation of the primary societies in the functioning of MP-MFP-CFL is ensured through adequate and appropriate representation in the higher level bodies. The main product and source of income for the primary societies is beedi leaf, the leaf of Diospyros melanoxylon used as wrapper for making beedies, the indigenous cigerette. Dispyros melanoxylon trees abound in the dry deciduous forests of Madhya Pradesh and other neighbouring states. The leaves are plucked from the Tendu (Dispyros melanoxylon) trees (in the allocated area) during the season, dried properly, made into bundles of 50 leaves and delivered at the collection centers by the members of the primary societies. They are paid for it immediately, based on standard rates established. The members of the primary societies are also responsible for looking after the Tendu trees, and ensuring their protection. The collected beedi leaves are sold periodically in auction sales and the profit gets ploughed back for enhancing the welfare and development (infrastructure, health, education, technology etc) of the community forming the membership of the societies. Apart from beedi leaves, some of the societies are also involved in producing other non-wood forest products such as sal seeds, gums, harra (Terminalia chebula), medicinal plants etc. These other non-wood forest products, however, account only for about 10% of the total production. The establishment of MP-MFP-CFL has helped greatly to enhance the welfare of the community involved, in terms of added employment and income, insurance coverage, social amenities and so on. The highlights of the case, for considering it a success story are the following :
(i) Organisation of primary producers of non-wood forest products within a strong federated cooperative structure. (ii) Rationalisation of non-wood forest product marketing to ensure remunerative prices. (iii) Equitable distribution of benefits to the members of the primary co-operatives. (iv)Sustainable management and production of non-wood forest products. (v) Extension and technology support within the co-operative system. The Indonesian Cases All four cases, taken up for study in Indonesia are logging concessions. While all the four concession cases had their operations based on noble intentions of sustainable forestry development, two were able to steer clear of the chaos of the reform/decentralization process, whereas the other two have become victims of such chaos.
PT. Suka Jaya Makmur PT. Suka Jaya Makmur is a privately operated forest concession in West Kalimantan Province of Indonesia, comprising entirely of tropical rain forest (with some marginal shifting cultivation). Logs harvested are used to produce veneer, laminated board, block board, moulding and lumber core at the company’s processing plant at Ketapang. Having an extent of 171,340 ha, the concession is managed under the system of TPTI, which involves selective cutting and enrichment planting of gaps/blanks. Yield is regulated on the basis of AAC and annual cutting area.
Sustainable Management of Tropical Forests – Private Sector Experiences The long and medium term planning documents (20 Year Perspective Plan and Five Year Forest Management Plan) provide the basis for preparing and implementing the annual operational plans. Pre-harvest preparations and harvesting operations (involving construction of roads, trails, bridges/culverts; logging control; scaling; transportation and so on) as well as post-harvest silviculture are carried out according to regulations. Sufficient care is bestowed to reduce logging damages and to protect the forest from damaging agents. The company routinely carries out social welfare activities for the benefit of the communities living in and around the concession, apart from providing them employment, to the extent possible. The company invests in R & D activities and in environmental conservation. The aspects of concession management, which qualifies the company as successful in Sustainable Forest Management, are the following: • • • • • • • • •
High standard of planning and plan implementation. Strict adherence to rules and regulations relating to concession management. Yield regulated to be within Annual Allowable Cut. Genuine interest in the welfare of the local communities. Implementation of environmental conservation measures. Effective forest protection. Continuous improvement of technology through field research. Good relationship with local people and local government authorities. Acclaimed for good performance in successive evaluations.
PT. Inhutani II (Malinau) PT Inhutani II is a State-owned forestry enterprise and its area of operation in Malinau is now facing new legal and social problems resulting from the decentralization of governance and the local community claiming ‘adat’ rights over the natural resources. PT Inhutani II started its operations in Malinau in the year 1991, based on a 20 year concession agreement (due to expire in 2011). The company has made all efforts to develop the concession into a model operation. Accordingly, the company has been planning and conducting all its activities with great care, strictly following the relevant rules, regulations and agreement conditions. In collaboration with CIFOR/ ITTO the company has been implementing reduced impact logging. All aspects of logging operations – i.e. preparation of plans, division of blocks, road/trail construction, pre-harvest operations, establishment and control of set-ups, scaling, skidding, transport etc were all being carried out as per prescriptions and specifications. The company also continue to discharge its social and environmental responsibilities. The company was getting prepared to upgrade its operations, from log production to sawnwood production, by establishing a saw mill facility locally. It was at that time (July, 2002), unexpected misfortunes affected the company’s plans. First, the local government (Bupati) issued parallel concessions (over part of the concession of PT Inhutani II) for logging and land utilisation, ignoring the legal rights of PT Inhutani II. Second, a local village community claimed “adat” right over part of the concession of PT. Inhutani II and compensation from the company for operations conducted over the (community’s) land. These developments appear to be a part of the local government’s strategy to assert their right over land resources in their jurisdiction; and similar situations seem to have developed elsewhere in the country. The case is an illustration that inspite of the legal validity of the concession and inspite of the good intentions and actions on the part of the company involved in managing the forest sustainably, it (the company) can still be hurt seriously in the “Centre-Local power politics”, particularly in a situation of inadequate governance and disrespect for legal norms.
PT. Sari Bumi Kusuma PT. Sari Bumi Kusuma is a privately operated logging concession, located somewhat remotely (about 460 km away from Pontianak) in Central Kalimantan province of Indonesia, and essentially comprised of tropical rain forest. Logs produced are processed into sawn timber, moulding and commercial plywood. The company’s commitment to support local community development makes it a unique operation. PT. Sari Bumi Kusuma has received high scores in all the past evaluations of its performance. A stickler to the conditions set forth for Sustainable Forest Management, and to all the rules and regulations and agreement conditions in that regard, PT. SBK plans its concession operations meticulously, and implements them faithfully.
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Sustainable Management of Tropical Forests – Private Sector Experiences The company follows a system of selective cutting and strip planting (TPTJ), which enables progressive improvement in the productivity of the forest involved. Strips are spaced 25 meters apart, and along the strips nursery raised seedlings of valuable species (such as Shorea leprosula, other Shorea spp, Dipterocarpus spp) are planted 3 meters apart. Research data indicates that the planted trees in the strips will attain a diameter of 66 cms by 35 years, when the strips can be clear felled; and the mature commercial trees (of an above the prescribed size limit of 45 cm diameter) in the interspace between strips can also be harvested as per specified regulations. It is expected that log yield per hectare can potentially be raised to 300 cum (compared to the current yield of about 50 cum). The company is currently on transition from TPTI to TPTJ. First strip planting in the concession area was done in the year 1998. As pre-harvest operation, all harvestable trees are marked and measured to estimate the yield. Nucleus trees which will serve as seed sources for future regeneration are also marked to ensure that such trees are not damaged during felling. Logging operations are controlled by compartments, and new compartments are taken up once the earlier ones are officially closed. Logging is fully mechanized; directional felling is insisted to avoid/reduce damages. Logs are measured by qualified scalers. All the logs produced are processed in the company mills in Pontianak. The company has a long tradition of supporting local communities to improve their livelihood and living conditions. The company honours its social obligations by investing in social development/welfare programmes – education, health, rural infrastructure, village and agricultural development schemes and so on. The company also undertakes environmental conservation and research activities and collaborates with universities and national research organizations. The criteria which qualify PT SBK as a success in Sustainable Forest Management are the following: • • • • • • • •
Increased productivity through enhanced technology Healthy condition for the forest and the growing stock A good functional system of forest management planning (including harvesting plans) and plan implementation Reduced logging wastage Friendly relationship with the local community Emphasis on community welfare programmes Commitment to R & D and environmental conservation Strict obedience to rules and regulations relating to forest concession management.
While PT. SBK is looking forward to obtain ‘Certification’ from a public relations point of view, the company is doubtful about the real benefits from it, in the context of inaction against rampant illegal logging. Since illegal logs are getting “legalized” in various ingenious ways, what is primarily required is a “legal labeling”. Also, there is need to further rationalize and simplify the principles and steps involved in certifying FMUs.
PT. Bina Lestari 1 (Riau) PT Bina Lestari 1 (Riau) is a privately operated mangrove concession, located in Riau province of Indonesia, managed under Selection System for producing mangrove chipwood. The company had been planting mangrove species to supplement the resources. This is also a case where, recently, an overlapping timber permit has been issued by the local (Kabupaten) government, and where the decentralization process has lead to the company closing down its operations. As a company started by forestry professionals, PT Bina Lestari I (Riau) has been managing the mangrove concession for a long time, in a silviculturally sound manner, following all the conditions stipulated in the concession agreement. Management plans were made in time, and implemented properly. While following a system of selective cutting (size limit of 10 cm and above in diameter), natural regeneration was supplemented with artificial (enrichment) planting, wherever required. Mangroves being a fragile ecosystem, extreme care was being taken for its protection. The company established research plots within the concession with assistance/collaboration of JICA and LIPI – for studying mangrove ecology and enhancing mangrove management. PT. Bina Lestari 1 (Riau) respected the needs and rights of the local community for fuelwood, by allowing them access to lops and tops of felled trees; and liberally invested in social welfare programmes for the benefit of the local community. The mangrove wood harvested from the concession area was being supplied to a wood chip factory in the vicinity, which in turn was exporting the chips to Korea and Japan. The period of concession awarded to PT. Bina Lestari 1 (Riau) expired in 1998. The company had requested for renewal of the concession sufficiently in advance, in 1996. The MOF had also granted two short term extensions of the
Sustainable Management of Tropical Forests – Private Sector Experiences concession upto end of March 2001. Moreover, the company had already paid the licence fee for the entire renewal period of 20 years. In spite of these, the MOF delayed the issue of the final order of extension, allegedly for arranging an independent evaluation of the past performance of the concession, before making the final decision. In the meanwhile, the local government (Bupati) awarded a concession over the area to another party (ignoring the pending request of PT. Bina Lestari 1), the full details of which were not readily available. In view of the above developments, PT Bina Lestari 1 is in the process of closing down its Riau operations, for good. The company had made an investment in establishing a processing facility (for manufacturing mouldings, knockdown furniture, photo frames etc) in central Java, based on wood (of species Spathodia companulata, Erythrina species and Acacia mangium) sourced from private farms and homesteads. The case is interesting because PT. Bina Lestari 1 (Riau) managed the concession, in a sound and sustainable manner, as long as it could. The company had the intention to continue with sustainable management of the concession, as illustrated by its paying the licence fee, as required.
The Malaysian Cases The two cases studied in Malaysia are very different in their background and details: one is a new FMU, the other has been under sustained yield management for a very long time; one is a Dipterocarp forest in Sarawak State, the other is a mangrove forest in Perak State of Peninsular Malaysia; one is being harvested for sawlogs/veneer logs, the other for mangrove poles and fuelwood; one follows selective management system, other follows clear felling with natural regeneration, supplemented by artificial planting. The cases illustrate that the crucial ingredients for ensuring successful and sustainable management of forest resources by the private as well as the public sector, among others, are rational policies and their effective implementation supported by good planning, adequate financing and proper governance.
Samling Plywood (Baramas) Sdn Bhd. Selaan-Selongo FMU of Samling Plywood (Baramas) Sdn Bhd is a privately operated concession, located in the upper Baram region of Sarawak, Malaysia, producing plywood. Concession area comprises tropical rain forest, having shifting cultivation over about 15% of the area. Out of a total area of 204,150 ha, forest cover accounts for only 169,440 ha. This is a concession comprised mainly of old growth forest. Annual area of logging is about 8,430 ha, after excluding areas required for protection and community use purposes, with an AAC of about 100,000 cum. While part of the wood produced is utilized for processing (mainly to produce plywood) locally, at the company’s processing mill near Miri, the rest are exported in the log form. Forest management is based on selection system, and logging operations are fully mechanized. Selaan-Selongo FMU is only one of the several such operations controlled by the Samling Group. It is only recently (in 1998) that Samling Plywood (Baramas) Sdn Bhd has taken up Sustainable Forest Management seriously, in the FMU. The 10 year forest management plan of the FMU has explained all the activities to be undertaken by phases (pre-logging, logging, post-logging), to achieve the objectives of Sustainable Forest Management. The problems faced by the company are the terrain features of the concession area and its remoteness requiring investment on infrastructure. The forest dwelling indigenous community practices shifting cultivation in the land set apart for their use, and are not involved in any illegal activities. While the case is new, without adequate track-record, it has the potential to become a model for Sustainable Forest Management.
Matang Mangrove Forest Perak State Forest Department’s operation in Matang mangrove forest, covering an area of 40,151 ha. is an integrated activity, to sustainably produce wood and non-wood forest products. Main product is charcoal. Silvicultural system adopted is clear felling in periodic blocks followed by natural regeneration, supplemented by artificial planting as necessary. Out of the total of 40,151 ha, productive area is comprised of 32,746 ha. The main objective of managing the Matang mangroves is the continuing propogation and subsequent production of high quality trees of Rhizophora spp especially for fuelwood and poles on a sustained yield basis, with provision for conservation and protection of the environment. Sustainable utilization of Matang mangroves has been a profitable operation. Recent averages indicate that: the revenue collected from timber extraction alone, based on premium over the land and royalty over the timber removed, has been RM 1,561,086 per annum. As against this, the expenditure on administration, forest development, forest operations, conservation and protection activities over the whole of Matang mangroves amounts to RM 926,550 per annum. Accordingly, the average net revenue realized has been RM 634,536 per annum. The direct tangible economic value of annual harvest of produces has been estimated to be RM 155,474,507 as follows:
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Sustainable Management of Tropical Forests – Private Sector Experiences Mangrove wood production : Fishery and aquaculture : Total
RM 25,350,122 RM 130,124,385 RM 155,474,507
No estimate is available about the intangible values (externalities) in the form of environmental conservation, coastal area protection and so on. The Matang mangroves has been under sustainable management for producing fuelwood and poles over a period close to 100 years. Considering the fragile nature of the ecosystem (which has disappeared in several parts of the world due to encroachments for prawn culture and illegal logging), the success of mangrove management in Matang is worthy of emulation. This success is attributable to the high quality of planning, implementation, supervision and monitoring.
The Papua New Guinea Cases All the three cases studied in Papua New Guinea are large scale export-oriented logging operations. All the three cases are initiatives of multinational companies and involve foreign direct investment. All the three companies fully follow the rules, regulations and conditionalities relating to the implementation of FMAs and satisfy the normal SFM criteria. In spite of it, an important observation has been made by several reviewers that there is inadequate improvement in the socio-economic condition of the customary land-owning community. Several arguments are put forth, for the situation, by analysts: the situation is the result of inter-tribal conflicts and rivalries; traditional culture and system of sharing falter under the pressure of cash economy, and cargo-cult results; the tribal communities lack the basic discipline required for market-oriented production and related technological sophistication; greed and corruption among community leaders is a negative factor; tribal/communal solidarity is a myth; customary ownership of land is not conducive for intensive land development and so on. Available analysis/studies suggest that there are gaps between policies and public interest, as well as between policies and practice. Two basic deficiencies pointed out are: -
lack of adequate education and human resource capability of the land-owning communities; lack of clear definition and delineation of rights/ownerships over the natural resources, including landuse planning, land survey and land settlement.
The lesson here is that unless basic issues are adequately addressed with a long term perception, it will not be possible to guide and direct the development process through a sustainable path.
Vanimo Forest Products Ltd As already noted, the forest covered in the concession of Vanimo Forest Products Ltd. in the Sandaun Province of Papua New Guinea is customarily owned by the tribal communities. Part of the logs produced based on selective cutting are converted into sawn timber at the company sawmill. The unprocessed logs and the sawnwood are exported. The company follows a sophisticated system of forest management and harvest planning, within the provisions of forest management agreement and relevant government rules and regulations. Yield is regulated by a combination of area, and volume specified in AAC. Eventhough extension of concession activities in FMA area is not envisaged, the concessionaire is allowed to fell only the mature trees of commercial species and is required to leave a healthy residual stock for the future. Except for major roads, which will add to the rural infrastructure and benefit the communities, all temporary developments such as skid trails and log landings are to be decommissioned, such that the forest will soon be returned to its natural state. The company employs as many local community members as possible (eventhough they, often, lack the discipline required for work under strenuous conditions), in the logging and milling operations. Additionally, the company invests in developing social infrastructure such as schools, hostels, playgrounds, health centers, water supply, communication system and so on, as well as in land and agricultural development. The company also accommodates, to the extent possible, the demands (and compensation claims) of the community, outside the agreed conditions, in the interest of maintaining friendly relationships. Further VFP is the prime revenue source for the Sandaun provincial government. Some of the aspects, inter alia, which qualifies VFP to be considered a successful case are: • •
Conduct of logging fully within approved intensity, so that the residual forest is left in a healthy and sustainable condition. Strict adherence to the conditions of FMA and related rules and regulations.
Sustainable Management of Tropical Forests – Private Sector Experiences • • • • • •
Capacity to address the constraints involved in implementing a sophisticated harvesting operations, in a customarily–owned forest, in a remote location. Flexibility to accommodate the extra-legal demands of the community. Support extended for social capital formation and HRD, benefiting the local community. Serving as a major source of Government revenue. Generates local employment and income. Respects local culture and sensitivities.
Wawoi Guavi Consolidated TRP Blocks 1 to 3 A characteristic feature of Wawoi Guavi Timber Company (RH Group) is the integration of the logging operations with wood processing for producing sawnwood and veneer in remote locations (Panakawa and Kamusie), some 200 km away from the coast (ship loading point) along the Bamu, Wawoi and Guavi Rivers, requiring considerable investment on infrastructure. The forests are managed and harvested as prescribed, covering pre-harvest, harvest and post-harvest operations, leaving the residual forest in a healthy and least disturbed condition. Because of the very low density of population, remote location, and lack of any local demand for wood and wood products, the Wawoi Guavi FMA area is secure from anthropogenic influences and illegal activities. There is hardly any evidence of environmental degradation. The system of log accounting and surveillance traces the movements of logs from stump sites to the mills, or to the log loading point in respect of log export. The timber operations of the company have helped to initiate a process of development in a remote region of the country through infrastructure and human resource development. Apart from the employment and direct income receivable, the land-owning communities are also benefited by social welfare/development programmes being implemented by the company. The main means of communication, and contact with the outside world, for the communities in the region is the air service being operated by an affiliate of the company. The total value of the socio-economic contribution of the company to the Government of PNG and to the local people adds upto about 23.09 million Kina per year. Of this amount, 17.1% directly goes to the benefit of the land-owner groups. Customary land tenure system, inter-tribal conflicts, cultural taboos, infrastructural deficiencies etc still act as powerful factors hindering socio-economic development of the local land-owning communities. The company has, however, been able to handle the situation without causing much disruption The aspects which qualifies the Wawoi Guavi timber operation to be considered as a successful case of SFM are the following: • • • • • • •
Environmentally sound and non-destructive logging practices, followed by appropriate post–logging operations Integrated logging and processing operations established in a remote location Initiating and supporting a process of socio-economic development in the Wawoi Guavi Region, through creation of infrastructure. Support for social welfare of the local people Enhancement of local technological capability and human resource development A revenue source for provincial and national governments Capability to keep up amicable relationship with the local people.
Turama Extension FMA 1 & 2 Turama Extension FMA 1 & 2 (Prime Group Holdings) in the Gulf province of PNG is involved in log production for export in an area which has negligible pressure of population. The situation, and operations, in Turama Extension FMA 1 & 2 are similar to those in Wawoi Guavi, both being located close to each other. Turama Extension, however, is not an integrated operation, and it exports all the logs produced. Since the forest areas are left in its wild condition, without any interference, after being selectively logged, they revert back to the original condition within a short period of time. Sustainable management of forest in a sparsely populated and remotely located area is normally a matter of following the harvesting code in timber operations. The company has also followed through the other (social, economic, environmental and institutional) aspects of Sustainable Forest Management, including community empowerment and building of local capability as required in FMA, in a fully satisfactory manner. Hence, as in the two other cases from Papua New Guinea the operations in Turama Extension FMA 1 & 2 can be considered as a successful case of Sustainable Forest Management.
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Sustainable Management of Tropical Forests – Private Sector Experiences The Philippine Case Logging concessions in Philippines are being phased out. The case chosen for study in Philippines helps to illustrate that in the flood tide of uncontrolled forest exploitation, it is difficult for SFM to have a stable foothold.
Pacific Timber Export Corporation (PATECO) Pacific Timber Export Corporation (PATECO) operates a timber licence over an area of about 34,000 ha of tropical forest, located in Dinapigue in Isabela and Dilasag in Aurora along the North Eastern Coast of Luzon. The company has been managing the concession forest under selection system, removing a portion of mature and overmature trees, defined by DBH, on a cycle of 30 years. All silvicultural management operations such as pre-harvest inventory, estimation of allowable cut, marking of trees to be removed (and those to be retained as mother trees), post-harvest regeneration survey, timber stand improvement, enrichment planting and crop protection measures are being done as prescribed in approved working plans. The company has also raised 120 ha of plantation in suitable areas. The size and boundaries of the concession went through several adjustments due to land-use changes. From the management point of view, the concession area has been categorized into: (a) protection forest and (b) production forest. The protection forest is composed of old growth forest, mossy forest, river embankments, buffer zones, areas of 50% and above slope, and rocky and wilderness areas. The protection forests are strictly for conservation. Production forest includes: natural residual forest and plantation forest. Production forests are divided into management blocks based on years elapsed after logging (YEAL) for sustainable timber harvesting and silvicultural treatment, as per prescriptions of timber management and development plans. Pursuant on DAO 24 of 1991, the company is conducting logging operation only in second growth forest with a YEAL of 26 years and over. Annual log production currently is close to 20,000 cum. The logs are processed into sawn timber, plywood, doors, builders wood works and so on. The company has been following the environmental norms and ensuring minimum acceptable standard in all operations. Hunting is prohibited in the concession area except on very special cases such as gathering of wildlife specimen for study and research. Indegenous people whose source of food is purely from their catch are also allowed to hunt for subsistence and for customary spiritual offerings. The present licence period of PATECO is due to expire by 2006 and continued operation beyond that date is uncertain (or unlikely). In view of this, the company has not taken any initiatives to have the concession certified. The company is planning to undertake large scale industrial timber plantations to feed its industrial processing units. PATECO is considered as a success story since it has ably withstood all the vicissitudes, arising from policy and political changes, illegal activities in the vicinity and threat of insurgents, without compromising on its commitment for SFM. The company has been found to be performing well, in successive evaluations. It is one of the 6 forest concessions to successfully “survive” till the end; and probably the only company with forest management plan approved for implementation till end of its concession period. The case serves as a representative example of how private companies involved in forest management and utilization are affected by the issues beyond its control such as frequent changes and inadequacies of policies, weaknesses of governance, inconsistencies of regulations and instability of investment environment.
The Issues The experiences of these cases may, to some extent, help to find reasonable solutions to the issues discussed below, under seven groups: governance-related issues; technical/ scientific issues; trade-related issues; institutional issues; environmental issues; socio-economic issues; and the overarching issues. Governance related issues include: lack of political/policy commitment to the cause of SFM; lack of resource information; prevalence of illegal logging and smuggling; weaknesses in governance marked by inadequate accountability, transparency and stakeholder participation; contradiction in promoting RIL and certification while failing to control illegal/corrupt activities. Issues related to science and technology are often exacerbated by institutional weaknesses. The issues include: inadequate funds, facilities and human resources for research and development; inadequate dissemination of technological packages; and professional preoccupation being more on conceptual aspects and “re-inventing the wheel than on addressing practical problems”. Trade related issues directly and indirectly impact on (sustainable) development; and ‘certification’ and related aspects are to be considered in that perspective. Institutional issues cover: inadequate planning capability, inadequacies of policies and instruments, weaknesses of enforcement agencies, corruption in public administration, gaps and flaws in rules and regulations. Environmental issues have to address questions on: wise-use vs non-use; environmental degradation due to deliberate action, commercial viability of NWFPs; role of environmental activism and so on.
Sustainable Management of Tropical Forests – Private Sector Experiences Socio-economic issues assume serious proportions as a result of inadequate stakeholder participation and inadequate social concern and commitment on the part of the leadership. Need for policy and behavioral research, evaluation of socio-economic impacts, role of creative dissatisfaction, and balancing of ecological and economic concerns are relevant aspects in this regard. Over-arching issues generally have Institutional overtones and significance. Long-term sustainability will depend on developing competitive advantages through improved efficiency and not in seeking benefits from nature-provided comparative advantages.
Findings and Conclusions Sustainable Forestry is an ideal to be aimed at, and its major constraint is not lack of technology, but the institutional factors which militate against the application of the best available technology. These institutional factors appear in the form of short term perceptions and time preferences of the investors and inadequate concern on the part of policy makers and managers to adopt and follow an appropriate forest management system. Forest management system is a set of rules and techniques that people devise to maintain forested land in a desired condition, including the processes through which the rules and techniques are adapted to changing circumstances. At a minimum, management activities would include enforcing boundaries, setting yield levels for forest product harvesting and controlling them, and equitably allocating the benefits and costs derived from the resource. Such a forest management system is said to be sustainable when it is able to adapt to changes in spite of the pressures acting against it, and to maintain the desired forest condition over time. Inappropriate changes to management systems and silvicultural practices can have considerable impact on forests and their biological diversity, their health and vitality (Poore 1989, Dawkins & Philip 1998). As already noted, the cases of private sector success stories discussed here do not represent the majority situation. They are models selected on the basis of certain suitability criteria for assessing good performance. Their merit is to be judged in the background of the problem situation existing at the country level, as well as the regional level, particularly since they were able to perform under difficult (and adverse) conditions. It is underlined, however, that the successful cases have been brought out not as a camouflage for our failures. But as a clarion call to avert the impending disaster through ensuring sound and sustainable management/development of the remaining forest resources. The route to SFM, is therefore challenging. Conceptual development or existence of C&I for SFM or elegantly prepared plans, by themselves will not ensure improved and sustained forest management. It belies the fact the effective SFM involves enormous task requiring money, manpower, materials and management. What it requires is absolute commitment, supported by appropriate institutions, technology, human resources, co-ordination mechanism and targeted funding.
RESUME ANALYTIQUE Le projet PD 48/99 Rev. 1 (M, F) “Partage d’informations et d’expériences sur les réussites du secteur privé en matière d’aménagement forestier durable” est financé conjointement par l’OIBT et le Gouvernement malaisien. Il vise à promouvoir l’aménagement durable des forêts tropicales en facilitant l’accès à l’information et aux expériences concernant l’aménagement forestier durable au niveau des pays et à les faire mieux connaître. Portée de l’étude Aménagement forestier durable (AFD) Cette étude met l’accent sur la gestion durable des ressources forestières. Les ressources représentent des intrants peu abondants qui peuvent être utilisés pour produire ou fournir des biens et des services. Ce qui est gratuit est caractérisé par une disponibilité illimitée. De nombreuses denrées étaient jadis considérées gratuites, comme le bois, les poissons et l’eau douce, mais elles ont fini par se faire rares du fait de l’augmentation très considérable de leur utilisation et souvent du gaspillage, associés à la croissance de la population et des revenus. Le manque d’efficacité dans l’allocation des ressources est venu aggraver cette situation de pénurie. La gestion et l’utilisation non durables des ressources forestières ont donné lieu à de fortes préoccupations, en raison de leur impact et de leurs incidences environnementales et socio-économiques. En dépit de plusieurs initiatives au plan mondial, régional et national pour réaliser l’AFD, le déboisement et la dégradation des forêts se poursuivent sur une échelle inacceptable qui menace de perturber l’équilibre environnemental de la planète et infligent de graves dommages écologiques.
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Sustainable Management of Tropical Forests – Private Sector Experiences Tel que défini par l’OIBT (1998), l’aménagement forestier durable est l’aménagement de forêts en vue d’objectifs bien définis concernant la production soutenue de biens et de services désirés, sans porter atteinte à leur valeur intrinsèque ni compromettre leur productivité future, et sans susciter d’effets indésirables sur l’environnement physique et social. L’aménagement forestier durable suppose la planification de la production de produits ligneux et non ligneux à des fins commerciales, ainsi que la satisfaction des besoins locaux. Il inclut la protection, ou la mise en réserve d’aires à gérer en tant que réserves de flore et de faune, à des fins de loisirs ou environnementales. Il garantit que la conversion d’espaces forestiers à l’agriculture et à d’autres usages s’effectue de manière correctement planifiée et contrôlée; il couvre la régénération des terres incultes et des forêts dégradées ainsi que l’établissement de plantations forestières; il favorise l’intégration des arbres dans les paysages agricoles et l’agroforesterie; il préconise la recherche améliorée et la planification participative; il couvre la prévention et la réduction des feux de forêt et la restauration forestière. Bref, l’aménagement forestier durable consiste en actions spécifiques et pratiques pour matérialiser en foresterie le concept de durabilité. Ainsi, il préconise l’utilisation des biens et services de la forêt à des niveaux qui ne sont pas susceptibles de modifier l’environnement (y compris l’élimination de gaspillages), sans compromettre la capacité régénératrice du domaine forestier. Ramener les récoltes forestières à des niveaux durables, améliorer les pratiques de gestion, mettre en valeur la conservation des forêts, fournir les avantages tirés des forêts à un plus large éventail des populations et offrir aux individus et aux sociétés des incitations n’entraînant pas de distorsions pour encourager le développement des ressources forestières, sont autant d’éléments d’un système de gestion viable des forêts. L’aménagement forestier durable représente une tâche énorme nécessitant moyens financiers, main d’oeuvre, matériaux et gestion. Les gouvernements confient de plus en plus la responsabilité de l’aménagement forestier durable à une large gamme d’institutions du secteur privé; et ce secteur subit actuellement des changements à la fois de structure et de fonctions. Toutes les activités concernant la production et l’utilisation des biens et services de la forêt et la conservation des ressources forestières entrent dans le cadre de la présente étude, et portent sur les produits ligneux (de source naturelle ou plantée), les produits forestiers non ligneux, les expériences de loisirs et les services environnementaux.
Le secteur privé Aux fins de cette étude, le secteur privé ne signifie pas forcément les seules entités appartenant à des particuliers ou des sociétés privées. Il inclut toutes les entités autonomes (ayant liberté administrative et financière), qui fonctionnent selon des principes de gestion efficace, de décentralisation des pouvoirs de décision, un plan comptable transparent, la mobilisation de ressources auprès de sources multiples ou par des appels à la concurrence et qui sont affranchies des règles et des règlements bureaucratiques dans leurs opérations et affaires quotidiennes. Ainsi, les entreprises/sociétés appartenant à l’Etat, les fonds/conseils/fondations publics, les institutions de coopération, les organismes locaux, les ONG et les projets et programmes qui fonctionnent de façon autonome peuvent tous entrer dans le cadre et dans les compétences du secteur privé.
Les réussites Les réussites représentent des actions qui répondraient à certains critères de succès. Mais il n’est pas toujours commode pour une entreprise/entité de répondre entièrement à tous les différents critères qui décrivent un cas idéal. Il peut souvent y avoir contradiction entre critères, par exemple ceux de conservation contre ceux de satisfaction des besoins fondamentaux/locaux. Il peut y avoir réussite dans un domaine, et échec dans l’autre. Comme évoqué plus haut, ce projet concerne le partage d’informations et d’expériences; et même un cas d’échec peut souvent fournir une leçon ou une expérience utile. Les réussites partielles devraient sans aucun doute justifier un examen de notre part. La liste qui suit énumère, entre d’autres, les critères appliqués pour évaluer le succès de l’aménagement durable des forêts tropicales: • • • • • • • • • • • • •
Existence d’un système de plans à long, moyen et court terme Détermination de la possibilité annuelle Application d’un système de gestion Délimitation claire des unités de gestion forestière Gestion fondée sur un inventaire forestier Pratique de l’exploitation forestière à faible impact Prescription et respect du niveau minimal acceptable de conservation environnementale Production conforme aux systèmes sylvicoles Mise en place de mesures de protection pour lutter contre les parasites, les maladies, les feux etc. Capacité évidente d’attirer des investissements viables Obligations d’équité sociale respectées Adoption d’incitations appropriées et n’entraînant pas de distorsions Efficacité assurée des systèmes de surveillance et de certification
Sustainable Management of Tropical Forests – Private Sector Experiences Activités du projet Le projet a démarré en septembre 2001. Il était prévu à l’origine qu’il durerait 26 mois. Il y a cependant eu des retards. Les activités du projet ont été divisées en phases: Planification et enquête; Études de cas; Conférence internationale; Diffusion des résultats de la conférence.
Enquête Q500 La tâche principale envisagée pour la première phase consistait à procéder à une enquête au moyen d’un questionnaire (Q500) en vue d’obtenir globalement les réponses de 500 entreprises/entités, sur des aspects liés à l’aménagement forestier durable. Cette phase a été achevée vers la fin juillet 2002. Un rapport donnant des précisions sur l’exécution et les résultats de l’enquête Q500 a été soumis aux organes directeurs du projet en septembre 2002. Le questionnaire Q500 sollicitait des réponses indépendantes écrites de la part d’un grand nombre d’entreprises/entités intervenant dans la gestion des forêts et/ou d’entreprises de foresterie. Sur les 548 questionnaires envoyés dans la région Asie-Pacifique, 82 réponses ont été reçues. Si le pourcentage de réponses était bas et inférieur à celui que l’on espérait, il n’a cependant absolument pas déçu. 86% des réponses (soit 71 sur 82) étaient de bonne qualité et contenaient des informations très utiles et intéressantes sur un large éventail de situations – ce qui était entièrement adéquat pour continuer l’étude. A ce point, les résultats de Q500 dans la région Asie-Pacifique étaient encourageants. Le faible pourcentage de réponses est attribuable à plusieurs facteurs : •
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Plusieurs concessions d’exploitation forestière ont récemment été fermées, et plusieurs adresses auxquelles Q500 avait été envoyé n’existaient pas. Un grand nombre de questionnaires n’ont pas été livrés et ont été retournés. De nombreux opérateurs sont impliqués dans l’exploitation abusive du bois et n’ont aucun intérêt à répondre au questionnaire honnêtement. II s’agit ici du non respect de l’aménagement forestier durable. C’est particulièrement important en Indonésie, comme l’ont officieusement confirmé certains fonctionnaires des entreprises elles-mêmes. Les concessionnaires ont peur des ONG. Même les bons évitent de se mettre en évidence, craignant que les ONG puissent mettre en doute la véracité de leurs affirmations. Il est probable que le pourcentage de réponses serait quelque peu amélioré si la confidentialité pouvait être garantie aux répondants. Réticences à se voir associer aux agences intergouvernementales/internationales. Par exemple, un pays a déploré qu’un article paru récemment dans Actualités des Forêts Tropicales ait suggéré que l’exploitation illégale était monnaie courante dans ce pays. Désignation par certains gouvernements d’un organisme gouvernemental qui devait envoyer les questionnaires et recevoir les réponses. Dans plusieurs cas (par ex. aux Philippines) la durée de la concession/du contrat était sur le point de venir à expiration et son renouvellement était incertain. Dans d’autres cas, le système de concession en est à son tout début (par ex. au Cambodge) et en proie à toutes les difficultés de démarrage.
Analyse des réponses Afin d’évaluer la qualité de l’exécution de la gestion forestière, les réponses reçues aux différentes questions ont été tabulées et analysées, sous les rubriques suivantes : type de propriété et superficie en question; types de forêt; compréhension de la pratique en matière de foresterie durable; intégration avec les industries; nature des concessions forestières; effectifs et développement des ressources humaines; sécurité et bien-être des ouvriers; production de grumes; produits ligneux; PFNL et services fournis par les forêts; plans de gestion; systèmes et pratiques sylvicoles; normes et contrôles de l’environnement; plans et règlements de récolte; conservation de la biodiversité; contributions et services sociaux; conformité aux conditions juridiques; recherche et développement; et certification des forêts. L’analyse a clairement indiqué que dans la majorité des cas la gestion forestière est inadéquate et, souvent, non durable. Sous un certain nombre d’aspects, il y avait des écarts flagrants entre la politique (ou les principes) et la pratique. Dans plusieurs cas, les plans ne sont pas mis en application. On peut en dégager la leçon générale que, sans combler la lacune entre les politiques/la planification et les pratiques, l’aménagement forestier durable ne peut pas être assuré sur une grande échelle ou à l’échelle nationale et à long terme. Pourtant, il a été encourageant de noter dans les réponses reçues qu’environ 25% des gestionnaires/entrepreneurs forestiers sont attachés à la cause de la foresterie durable. L’excellence de la minorité donne de l’espoir pour l’avenir.
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Sustainable Management of Tropical Forests – Private Sector Experiences Sélection pour QS2 Sur la base des réponses au questionnaire, les entreprises qui avaient répondu ont été interviewées, afin d’identifier celles dont un profil détaillé pouvait être établi dans la phase 2 (QS2). Lors du processus de sélection, 22 entreprises/institutions sur les 82 ont été jugées appropriées. Le processus de sélection adopté a consisté à éliminer successivement celles qui présentaient des déficiences par rapport aux critères de durabilité (par ex.: elles ne suivaient pas les règles pratiques en matière de foresterie durable; n’avaient pas de système de plans de gestion; n’avaient pas de plan de récolte; n’avaient pas adopté de normes minimales et de contrôles tels que la possibilité annuelle; manquaient de professionnels et de main d’oeuvre qualifiés; et ayant fourni des réponses à différentes questions présentant de fortes anomalies). L’intention était de s’assurer que la performance des candidates (entreprises) sélectionnées était technologiquement correcte, tenait compte des impératifs sociaux, respectait l’environnement et était efficace sur le pan économique. Vu le besoin de stratifier les échantillons à profiler et compte tenu de la nécessité d’équilibrer la couverture géographique, les catégories de ressources et de produits, le type et la taille des opérations de gestion, etc., 12 entreprises (de 5 pays – Inde, Indonésie, Malaisie, Papouasie-Nouvelle-Guinée et Philippines) ont été sélectionnées pour l’étude de la phase 2. En dehors du fait qu’ils répondaient aux critères de durabilité adoptés pour la sélection, les cas sélectionnés sont également ceux qui avaient cherché à résoudre certains des problèmes qui se posent en général dans le secteur forestier – c.-à-d., ceux qui sous-tendent le besoin de: planification méticuleuse et exécution méthodique; permanence dénotée par la longévité de services durables; recherche-développement technologique; approche dynamique du développement durable par l’amélioration de la productivité; approches novatrices; importance accordée aux avantages socio-économiques et environnementaux; participation des habitants à la planification, à l’exécution et au partage des bénéfices; transparence et consultation des parties prenantes; structures institutionnelles améliorées et participatives; et aptitude à s’adapter à des situations changeantes. Comme indiqué ci-dessus, les cas sélectionnés (entreprises) représentent une gamme de situations en ce qui concerne la taille, la diversité des produits, le système de gestion adopté, la méthode des opérations de récolte, le régime de tenure, la source d’investissement (propriété de l’entreprise), l’utilisation des produits récoltés, le marché pour les produits, et l’expérience (durée d’existence) de l’entreprise.
Diversité des cas sélectionnés Les entreprises sélectionnées en vue d’en établir un profil détaillé représentent un éventail de situations et d’évolution historique constatées dans la région en matière de gestion et de mise en valeur des forêts: •
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Une intéressante caractéristique d’ITC Bhadrachalam Paperboard Ltd. en Inde est le parrainage et l’initiative de la société en vue de favoriser la participation de paysans extérieurs (petits cultivateurs) à la production de bois de pâte à partir de variétés d’espèces génétiquement améliorées à haut rendement produisant du bois de pâte, l’accent étant mis sur les aspects scientifiques et technologiques, un programme éducatif, un accord de rachat et une interaction sociale. Madhya Pradesh State Minor Forest Produce (Trade and Development) Co-operative Federation Ltd, une entité autonome couvrant la plupart des forêts tropicales à feuilles caduques de l’Etat de Madhya Pradesh en Inde, oeuvre à la mise en valeur des produits forestiers non ligneux, avec la participation active d’un grand nombre de producteurs primaires à la gestion, à la récolte et au commerce des ressources. PT. Suka Jaya Makmur est une concession forestière privée dans la province indonésienne du Kalimantan occidental, dont la totalité en forêt ombrophile tropicale (avec agriculture itinérante marginale) et qui produit des placages, panneaux lamellés, panneaux lattés, moulurés et bois d’âme; les procédures de gestion forestière de cette entreprise sont d’excellente qualité. PT. Inhutani II est une entreprise forestière appartenant à l’Etat et sa zone d’exploitation de Malinau au Kalimantan oriental (Indonésie) est actuellement confrontée de nouveaux problèmes juridiques et sociaux résultant du processus de “décentralisation” et du fait que la communauté locale revendique des droits “adat” sur les ressources naturelles. PT. Sari Bumi Kusuma est une concession privée, située quelque peu à l’écart (à environ 460 km de Pontianak) dans la province centrale du Kalimantan (Indonésie) et principalement dans la forêt tropicale ombrophile; les forêts sont gérées selon un système de coupes sélectives et plantations en bandes. Les grumes produites sont transformées en sciages, moulurés et contreplaqué commercial. L’attachement de la société à soutenir le développement local de la communauté en fait une opération unique. PT. Bina Lestari I (Riau) est une concession privée d’exploitation de mangroves, située dans la province de Riau (Indonésie), gérée selon un système sélectif destiné à produire des copeaux de mangrove. L’entreprise
Sustainable Management of Tropical Forests – Private Sector Experiences
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a également créé des plantations forestières pour compléter ses ressources. C’est également un cas où, récemment, les pouvoirs locaux (Kabupaten) ont délivré un permis faisant double emploi et où les difficultés créées par la décentralisation ont entraîné la fermeture des opérations de l’entreprise. Samling Plywood (Baramas) Sdn Bhd est une concession forestière privée située au Sarawak (Malaisie) qui utilise une partie de sa production de grumes pour produire des contreplaqués. La zone de concession comprend des forêts tropicales ombrophiles et plus de 15% environ de sa superficie est occupée par l’agriculture itinérante. La gestion forestière opère selon les critères de durabilité. Les opérations du Département des forêts de l’Etat de Perak (Malaisie) dans des forêts de mangrove (mangroves de Matang), qui couvrent une superficie d’environ 40.000 ha, consistent en une activité intégrée produisant de manière durable des produits forestiers ligneux et non ligneux. Le produit principal est le charbon de bois et le système sylvicole appliqué comprend des coupes rases suivies de régénération naturelle et/ou artificielle. Il s’agit là d’un cas unique de réussite des pratiques d’aménagement forestier durable qui dure depuis environ 100 ans. Vanimo Forest Products Ltd, dans la province de Sandaun en Papouasie-Nouvelle-Guinée est une opération privée entreprise par une société multinationale sur contrat avec le gouvernement, dans le cadre du système de droits d’achat du bois. La forêt faisant l’objet du contrat appartient traditionnellement aux communautés tribales et se trouve dans la forêt tropicale ombrophile. La récolte de grumes s’opère selon un système de coupes sélectives. Les grumes sont en partie transformées en sciages à la scierie de l’entreprise. L’opération toute entière est axée sur l’exportation. Wawoi Guavi Timber Company (RH Group), au fin fond de la province occidentale de Papouasie-NouvelleGuinée, est une opération qui a intégré la récolte de grumes et la production de sciages et de placages pour l’exportation et nécessite un investissement considérable pour l’infrastructure. Les activités du groupe sont extrêmement diverses. Turama Extension FMA 1-3 (Prime Group Holdings) dans la province du Golfe en Papouasie-Nouvelle-Guinée produit des grumes pour l’exportation dans une zone où la pression démographique est négligeable. La production de grumes est basée sur un système de coupes sélectives, conservant un niveau acceptable de stocks résiduels. Pacific Timber Export Corporation of Philippines opère en vertu d’un permis d’exploitation du bois (concession) sur une superficie d’environ 34.000 ha de forêts tropicales ombrophiles, selon un système rigoureux de gestion sélective; le bois produit est transformé en sciages, contreplaqué et bois de construction. La validité actuelle du permis viendra à expiration dans environ 3 ans et la poursuite ultérieure de l’opération est incertaine. L’exploitation de la concession est également contrainte par des activités illégales et la menace d’insurgés.
Les profils détaillés de ces cas ont été effectués sur une période de 8 mois, d’octobre 2002 à mai 2003. Cet exercice, en particulier l’évaluation des performances dans les cas sélectionnés, par rapport à la situation globale du secteur, a fourni une abondance d’informations et d’idées sur le fonctionnement du secteur forestier privé, y compris ses forces, ses faiblesses/contraintes, ses opportunités/potentialités et les menaces auxquelles il doit faire face.
Situation régionale des forêts L’Asie (de l’ouest, du centre, du sud, du sud-est et de l’est) et l’Océanie comptent collectivement 746 millions d’ha de forêts, soit 626 millions d’ha de forêts naturelles et 120 millions d’ha de plantations forestières. Répartition régionale des forêts, 2000
Région
Asie Océanie Asie-Océanie Monde
Total des forêts Superficie Superficie (Forêts naturelles & Plantations) Forêts Plantations forestière des terres naturelles forestières par tête % de la % des (millions (millions (millions d’habitant Superficie superficie forêts du d’ha) d’ha) d’ha) (ha) des terres monde 3 085 849 3 934 13 064
548 198 746 3 870
18 23 19 30
14 5 19 100
Source: FAO (2001): Evaluation des ressources forestières, 2000
432 194 626 3 682
116 4 120 187
0,15 6,58 0,20 0,65
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Sustainable Management of Tropical Forests – Private Sector Experiences En termes de volumes de bois et de biomasse, la moyenne pour l’Asie se monte à 63 m3/ha et 82 t/ha, et pour l’Océanie à 55 m3/ha et 64 t/ha, contre la moyenne mondiale de 100 m3/ha et 109 t/ha respectivement. Le total mondial du volume de bois et de biomasse ligneuse se monte à 386 milliards de m3 et à 422 milliards de tonnes respectivement.
Evolution des superficies forestières Les forêts ayant été converties à d’autres formes d’utilisations des terres, et mal gérées, les superficies forestières se sont progressivement contractées. Les efforts compensateurs destinés à réhabiliter les terres forestières dégradées et à boiser les terres dénudées et improductives pour quelque autre raison, n’ont pas été en mesure de neutraliser et de contre-balancer adéquatement la perte de forêts naturelles. Le taux de changement net de la superficie couverte de forêts en Asie et Océanie dénote une amélioration considérable, due en particulier à l’intensification des activités de boisement engagées avec la participation des populations. Evolution de la superficie couverte de forêt en Asie et Océanie, 1990-2000 Région
Superficie totale boisée 1990 (000ha)
Superficie totale boisée 2000 (000ha)
Changement annuel (000ha)
Taux de changement annuel (%)
Asie Océanie Asie-Océanie
551 448 201 271 752 719
547 793 197 623 745 416
- 364 - 365 - 729
- 0,70 - 0,18 - 0,10
Source: FAO (2001): Évaluation des ressources forestières, 2000
Certains des aspects à signaler au sujet de la situation de la foresterie dans la région sont les suivants: •
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Faiblesses/inadéquation générales des institutions et des instruments institutionnels – c.-à-d., politiques, législation, structure d’organisation, plans et programmes, systèmes de Recherche & Développement et de Suivi & Evaluation, etc. Incertitudes et conflits de tenure, en ce qui concerne particulièrement les droits des communautés indigènes. Manque de stratégies pour gérer les superficies croissantes de forêts dégradées et secondaires. Pénurie chronique de fonds pour des activités de foresterie; dépendance de l’aide de donateurs; et manque d’investissement dans le développement technologique. Manque d’information (pratiquement ignorance presque totale) aux niveaux locaux appropriés sur des sujets brûlants d’actualité mondiale comme l’impact du changement climatique sur les forêts, le mécanisme pour un développement propre, les stratégies de gestion du carbone (piégeage, conservation et substitution), les ressources de biodiversité etc.. Ecarts qui se creuse dans le domaine de l’aménagement forestier durable et la diminution des options pour y remédier.
Situation des pays membres producteurs de l’OIBT dans la région Asie-Pacifique Les pays membres producteurs de l’OIBT dans la région Asie Pacifique sont au nombre de dix (10), à savoir: Cambodge, Fidji, Inde, Indonésie, Malaisie, Myanmar, Papouasie-Nouvelle-Guinée, Philippines, Thaïlande et Vanuatu. Dans ces pays, la situation varie considérablement sous plusieurs des aspects concernant la foresterie, par exemple: ressources disponibles, propriété des forêts, systèmes et capacités de gestion, niveaux de transformation et d’utilisation des produits forestiers, commerce des produits forestiers et structures institutionnelles. Tandis que le Cambodge, l’Indonésie, la Malaisie, le Myanmar et la Papouasie-Nouvelle-Guinée sont producteurs et exportateurs de bois et de produits ligneux tropicaux, l’Inde, les Philippines et la Thaïlande ont perdu énormément de ressources durant les récentes 4 ou 5 décennies et sont devenues pays importateurs nets de bois et de produits ligneux. Les Fidji et le Vanuatu ont un pourcentage appréciable de terres boisées mais, du fait que ce sont des écosystèmes insulaires petits et vulnérables, la gestion durable des ressources forestières est particulièrement importante pour ces pays. Tandis que ces variations et spécificités sont dictées par leur histoire, leur démographie, leur système politique et leur emplacement géographique, ces pays ont en commun également un certain nombre de problèmes liés à la participation du secteur privé à la gestion des ressources forestières et aux déficiences dans l’administration publique des forêts. Ces problèmes comprennent, entre autres : gestion peu scientifique (coupes dépassant la possibilité, espèces spécifiées, classes dimensionnelles et aires allouées); manque de gestion appropriée des paysages; activités illégales; subventions occultes; perception insuffisante de rente; liens en amont et en aval inadéquats; distorsion des rapports
Sustainable Management of Tropical Forests – Private Sector Experiences entre populations et forêt; manquements aux obligations sociales; indifférence à la nature et obsession de bénéfices monétaires; maximisation des bénéfices privés à un coût excessif et évitable pour la société. Tout autant qu’il existe des différences de superficies entre les 10 pays (l’Inde occupe 297,3 millions d’ha et sa population dépasse le milliard; le Vanuatu s’étend sur 1,2 million d’ha pour une population de 186.000 habitants), la densité démographique varie d’un pays à l’autre – celle de l’Inde est de 335,7 habitants au kilomètre carré et, à l’autre extrémité, celle de la PNG n’est que de 10,4 habitants au kilomètre carré. L’Inde, les Philippines, la Thaïlande et l’Indonésie, dans cet ordre, ont une densité démographique de plus de 100 habitants au kilomètre carré; les trois premiers pays ont presque épuisé leurs ressources forestières naturelles, et en Indonésie on note déjà les signes de la grave pression qui pèse sur les espaces forestiers.
Ampleur des ressources forestières Parmi les membres producteurs de l’OIBT dans la région Asie Pacifique, dans six pays (Cambodge, Fidji, Indonésie, Malaisie, Myanmar et PNG) plus de 40% du territoire est couvert de forêts. Dans ces pays, la foresterie représente une part élevée du PIB et du commerce. En PNG, Indonésie et Malaisie, la foresterie représente une part du PIB supérieure à 10%. La part des produits forestiers dans le commerce de marchandises est de 43% pour le Cambodge, suivi du Myanmar (35%), des Fidji (13%) et de l’Indonésie (12%). Les pays tels que le Cambodge, l’Indonésie, la Malaisie, le Myanmar et la PNG possèdent des ressources forestières considérables et ont déjà développé, ou ont les potentialités pour le développement ultérieur, d’importantes industries forestières. Ces pays auront une influence et un rôle particulièrement importants pour l’avenir de la foresterie dans la région. Tandis que l’Indonésie possède la plus vaste étendue de forêts en termes absolus, la Malaisie est en tête en termes de conditions de récolte représentées par le volume du matériel sur pied et la quantité de biomasse au-dessus du sol. Il convient de remarquer que si le volume du matériel sur pied dépend en partie du type de forêt et du terrain, il résulte néanmoins en grande partie de la qualité de la gestion forestière. Parmi les dix pays membres producteurs de l’OIBT dans la région Asie Pacifique, les Philippines, l’Inde et la Thaïlande ont le plus bas pourcentage de terres boisées (de même que la plus faible disponibilité de terres forestières par habitant). Les forêts de ces pays ont également subi une dégradation considérable.
Développement des plantations forestières Certains des pays ci-dessus ont une histoire et une tradition de longue date dans l’établissement de plantations forestières (par exemple en Inde, en Indonésie et en Thaïlande). Pour certains autres, la création de plantations forestières est un développement récent. Les plantations représentent 50,8% des forêts de l’Inde. 33% des forêts thaïlandaises sont des plantations. Les pays ayant une faible couverture forestière ont tendance à ce que leurs forêts plantées représentent un pourcentage plus élevé. Dans le pays où le pourcentage du territoire couvert de forêts est le plus élevé, à savoir la PapouasieNouvelle-Guinée, les plantations ne comptent que pour 0,3 pour cent.
Analyse des cas et de la situation dans les pays Les cinq pays (où les cas ont été sélectionnés) semblent collectivement progresser par étapes dans le domaine de la foresterie – faible pression démographique, exploitation des forêts pour financer le développement, intensification anarchique des activités d’exploitation forestière, élévation du niveau des activités illégales et du déboisement, affaiblissement de la gouvernance des forêts succombant à la corruption, espaces forestiers de moins en moins étendus qu’il est interdit (souvent sans effet) aux populations d’utiliser, et ces populations ou les paysans commençant à “cultiver” des arbres forestiers pour satisfaire la demande du marché. Dans pays après pays, cette tendance semble se répéter. Les chemins empruntés peuvent quelque peu différer mais la direction générale semble être identique. L’Inde a pour ainsi dire atteint la phase finale, suivie de près des Philippines, l’Indonésie n’étant pas très loin derrière. La Malaisie a pris la décision incertaine d’arrêter la marche ou de progresser lentement. La PNG vient de s’engager dans cette voie et semble penser que les ressources sont inépuisables et dureront à jamais. Compte tenu de la facilité et de la rapidité avec lesquelles les grumes peuvent être acheminées à travers les océans, les activités d’exploitation forestière de PNG risquent aussi de ne pas pouvoir être maîtrisées, et le pays de débouler la pente rapidement pour rattraper les autres – à moins d’être résolu à rompre avec cette tendance. On note certaines similitudes importantes parmi et/ou entre les pays ayant servi aux “études de cas”, à savoir : •
Les cinq pays ont tous compris l’importance de faire participer la communauté locale, et la nécessité d’appliquer des critères et indicateurs d’aménagement forestier durable.
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Dans ces pays, les droits des communautés indigènes aux ressources forestières n’ont pas été réglés, ce qui occasionne des conflits, des tensions et des confrontations. L’Inde a interdit l’exploitation dans les forêts naturelles et les Philippines dans les forêts primaires. Dans ces deux pays, les unités de transformation du bois dépendent de plus en plus de bois qui ne provient pas des forêts et de grumes importées. A Java (Indonésie), certaines scieries utilisent du bois provenant de fermes et de propriétés privées. L’Indonésie et la Malaisie sont limitrophes, de même que la PNG et l’Indonésie. Il est dit que des grumes passent illégalement les frontières, surtout du Kalimantan (Indonésie) au Sarawak (Malaisie). Les principaux exportateurs de bois et de produits ligneux (c.-à-d. l’Indonésie et la Malaisie) ont prévu des dispositions pour certifier les UGF ainsi que pour la certification des produits, ce qui ne semble pas une priorité pour les autres pays.
Les cas Comme déjà indiqué, les 12 cas “de réussites du secteur privé” sont sélectionnés dans cinq des pays membres producteurs de l’OIBT dans la région et couvrent un éventail de situations et d’activités : concessions forestières appartenant à des entreprises nationales; concessions forestières appartenant à des sociétés multinationales; production forestière effectuée par l’administration publique des forêts, en vertu d’instruments contractuels à court terme, dans des réserves forestières appartenant à l’Etat ; plantation clonale d’arbres par des groupes de paysans, avec le parrainage et le soutien d’une société de fabrication de papier et de carton; et fédération de coopératives primaires opérant le ramassage et la commercialisation des produits forestiers non ligneux. La portée de ces cas couvre: la production de grumes pour l’exportation; la production de grumes pour la transformation locale; la production de bois de mangrove pour la production de copeaux; la gestion des mangroves pour la production de poteaux et de charbon de bois; le développement de petites entreprise cultivant des clones d’arbres à haut rendement sur des terres privées; ainsi que la production, la transformation et la commercialisation de produits forestiers non ligneux. La plupart de ces cas (9) obtiennent actuellement d’assez bons résultats et d’autres (3) sont en train de se retirer progressivement pour se lancer dans d’autres activités liées aux forêts. Sur les 12 cas de la région Asie Pacifique, 6 seront présentés en tant qu’exemples à la Conférence internationale sur l’aménagement durable des forêts tropicales: expérience du secteur privé, qui aura lieu à Kuala Lumpur (Malaisie) du 13 au15 avril 2004.
Les cas de l’Inde Les deux cas étudiés en Inde sont liés à la participation des habitants et de la communauté au développement de la foresterie (pâte de bois et produits forestiers non ligneux). Culture clonale d’arbres par des paysans pour ITC Bhadarachalam Paperboards Ltd. Cette étude de cas présente la caractéristique remarquable d’une initiative entreprise par une société privée fabriquant du papier/carton et des papiers spéciaux, en vue de promouvoir la participation de petits cultivateurs à la production de pâte de bois issue d’une diversité d’espèces génétiquement améliorées à haut rendement de bois de pâte. Lorsque la société a installé son usine de papier à Sarapaka dans l’Etat d’Andhra Pradesh, elle a reçu du gouvernement d’Andhra Pradesh l’engagement de garantir les matières premières nécessaires (bambou et bois durs) en provenance des forêts appartenant au gouvernement. En conséquence du déboisement et de la dégradation continue des forêts, et des modifications ultérieures de la politique forestière qui restreignent les prélèvements de bois dans la forêt naturelle, la source de matières premières sur laquelle comptait la société n’existait plus. Pour sauvegarder son investissement, la société a dû trouver d’autres sources durables de matières premières. Ce besoin critique a incité la société à promouvoir auprès des cultivateurs la plantation de clones d’arbres à haut rendement, principalement des eucalyptus. Ces plantations ou cultures clonales peuvent être gérées selon une rotation de 3 à 4 ans. Les eucalyptus clonaux peuvent subir quatre coupes de taillis avant de devoir être replantés. L’expérience a prouvé que l’accroissement moyen annuel (AMA) des plantations clonales des espèces d’eucalyptus se situe entre 20 et 58 m3 par ha et par an et qu’à la première coupe, 3 ans après la plantation, les paysans peuvent se faire un bénéfice net de Rs. 50.000 à Rs. 150.000 par ha, selon la qualité du site et les intrants de gestion. Les bénéfices augmentent lors des coupes suivantes, le coût d’entretien en vue d’une coupe en taillis étant inférieur. De plus, cette culture d’arbres faisant partie d’un système d’agroforesterie, des revenus supplémentaires seront tirés de la récolte des produits agricoles. L’unité de recherche forestière de la société procède à des essais d’amélioration génétique du matériel de reproduction et des pratiques sylvicoles/agroforestières à adopter (par exemple espacement des rangées, type de cultures intercalaires).
Sustainable Management of Tropical Forests – Private Sector Experiences L’entreprise fournit aux paysans les jeunes clones à planter, ainsi que des services de vulgarisation continue. De plus, elle garantit de leur acheter le bois de pâte à un prix plancher fixe qui est revu périodiquement. Actuellement, les fermes forestières qui se trouvent à une distance économique de l’usine ne peuvent fournir que 40% environ du bois de pâte dont l’usine a besoin. L’entreprise espère pouvoir satisfaire tous ses besoins en bois de pâte en s’approvisionnant dans les plantations clonales d’arbres des districts sélectionnés de l’Etat d’Andhra Pradesh. Certains des aspects importants de ce cas, qui permettent de le considérer comme une réussite sont: mobilisation volontaire d’investissements pour le développement de fermes forestières; recherche, développement technologique et appui de vulgarisation par l’entreprise; productivité accrue des plantations clonales; emploi et augmentation des revenus des habitants locaux; réduction de la pression sur la forêt naturelle pour se procurer les matières premières; et collaboration mutuellement avantageuse entre l’entreprise et paysans.
M.P State MFP (Trade and Development) Co-operative Federation Ltd. La Madhya Pradesh State Minor Forest Produce (Trade and Development) Co-operative Federation Ltd. est un organisme autonome couvrant principalement les forêts tropicales décidues de l’Etat de Madhya Pradesh (Inde) et dont la mission est de mettre en valeur les produits forestiers non ligneux, avec la participation d’un grand nombre de coopératives de producteurs primaires à la gestion, aux prélèvements et au commerce des ressources. Le but primordial de MP-MFP-CFL, établie en 1984, est de protéger les récolteurs de produits forestiers secondaires (PFS) de l’emprise d’intermédiaires et de permettre à la communauté de gérer ses propres affaires par des arrangements institutionnels appropriés; et de garantir la gestion et la protection durables des ressources. Selon une structure pyramidale, MP-MFP-CFL est composée de 1.947 entreprises primaires (comptant au total 5 millions de récolteurs de PFS) constituées en 58 unions coopératives locales chapeautées par un organisme national. Les droits et privilèges des membres des entreprises primaires, leurs responsabilités en matière de gestion des ressources et livraison des produits aux centres de ramassage, le paiement des salaires et le partage équitable des bénéfices, ainsi que les fonctions et rôles aux niveaux supérieurs de la hiérarchie ont tous été définis dans un mémorandum d’association. La participation des entreprises primaires au fonctionnement de MP-MFP-CFL est assurée par la représentation adéquate et appropriée au sein des organes supérieurs. Le produit et la source de revenu principale des entreprises primaires est la feuille de Diospyros melanoxylon utilisée pour enrober les “beedies”, les cigarettes indigènes. Les essences de Dispyros melanoxylon abondent dans les forêts sèches décidues du Madhya Pradesh et d’autres Etats voisins. Les feuilles sont cueillies localement sur les arbres appelés Tendu (Dispyros melanoxylon) pendant la saison, bien séchées, confectionnées en lots de 50 feuilles et livrées aux centres de ramassage par les membres des entreprises primaires, lesquels sont payés immédiatement en fonction des prix standard établis. Les membres des entreprises primaires ont également la responsabilité de soigner les Tendus et d’assurer leur protection. Le feuilles de beedi récoltées sont vendues aux enchères périodiquement et le bénéfice est réinvesti au profit du bien-être et du développement de la communauté composant les entreprises (sous forme d’infrastructure, services de santé, éducation, technologie etc..). A part les feuilles de beedi, certaines entreprises produisent également d’autres produits forestiers non ligneux tels que graines de sal, gommes, harra (Terminalia chebula), plantes médicinales etc.. Toutefois, ces autres produits forestiers non ligneux ne représentent que 10% environ de toute la production. L’établissement de MP-MFP-CFL a beaucoup contribué à l’amélioration du bien-être de la communauté concernée, en termes d’emplois et de revenus supplémentaires, de couverture d’assurance, d’avantages sociaux et ainsi de suite. Les principaux éléments du cas, qui permettent de le considérer comme une réussite sont les suivants: i. Organisation des producteurs primaires de produits forestiers non ligneux en une structure coopérative fédérée performante. ii. Rationalisation de la commercialisation des produits forestiers non ligneux en vue de garantir des prix rémunérateurs. iii. Répartition équitable des bénéfices entre les membres des coopératives primaires. iv. Gestion et production durables des produits forestiers non ligneux. v Soutien de vulgarisation et technique dans le cadre du système de coopératives.
Les cas indonésiens Les quatre cas sélectionnés pour l’étude en Indonésie se rapportent tous à des concessions d’exploitation forestière. Bien que dans tous les cas les opérations aient été fondées sur de nobles intentions de développement forestier durable, deux des quatre concessions ont réussi à éviter le chaos du processus de réforme/décentralisation, tandis que les deux autres ont été les victimes de ce chaos.
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Sustainable Management of Tropical Forests – Private Sector Experiences PT. Suka Jaya Makmur PT. Suka Jaya Makmur est une concession forestière privée opérant dans la province du Kalimantan occidental (Indonésie) en forêt tropicale ombrophile (avec agriculture itinérante marginale). Les grumes récoltées sont utilisées à l’usine de transformation de l’entreprise à Ketapang pour produire des placages, panneaux lamellés, panneaux lattés, moulurés et bois d’âme. Sur une superficie de 171.340 ha, la concession est gérée selon le système TPTI, qui implique des coupes sélectives et des plantations d’enrichissement dans les espaces vides. Le rendement est régulé en fonction de la possibilité annuelle et de la superficie de coupe annuelle. Les documents de planification à long et moyen terme (plan des perspectives sur 20 ans et plan quinquennal de gestion forestière) définissent la base pour la préparation et la mise en oeuvre des plans opérationnels annuels. Les préparations antérieures à la récolte et aux opérations d’abattage (à savoir construction de routes, pistes de traînage, ponts/caniveaux; contrôle des abattages; cubage; transport etc.) ainsi que les traitements sylvicoles après la récolte sont effectués dans les règles. Un soin suffisant est apporté à réduire les dommages causés par les coupes et à protéger la forêt contre des agents préjudiciables. L’entreprise prévoit, dans la mesure du possible, des activités d’assistance sociale de routine au profit des communautés vivant à l’intérieur et autour de la concession, en plus des emplois qu’elle leur offre. Elle investit également dans des activités de R&D et de conservation environnementale. Les aspects de gestion de la concession qui permettent d’inclure l’entreprise parmi les cas de réussite de l’aménagement forestier durable, sont les suivants: • • • • • • • • •
Qualité élevée de la planification et de l’exécution des plans. Observation rigoureuse des règles et règlements concernant la gestion des concessions. Rendement calculé de manière à rester dans les limites de la possibilité annuelle. Intérêt réel pour le bien-être des communautés locales. Application des mesures de conservation environnementale. Protection efficace des forêts. Amélioration technologique continue grâce à la recherche sur le terrain. Bons rapports avec les habitants et les pouvoirs publics locaux. Excellente performance reconnue lors d’évaluations successives.
PT. Inhutani II (Malinau) PT. Inhutani II est une entreprise forestière appartenant à l’Etat et son fonctionnement à Malinau est maintenant confronté à de nouveaux problèmes juridiques et sociaux résultant de la décentralisation de la gouvernance et des revendications par la communauté locale de droits “adat” sur les ressources naturelles. Les opérations de PT. Inhutani II à Malinau ont débuté en 1991, après la passation d’un accord de concession de 20 ans (venant à expiration en 2011). L’entreprise a déployé tous les efforts nécessaires pour faire de la concession une opération modèle. En conséquence, l’entreprise a planifié et conduit toutes ses activités avec le plus grand soin, strictement selon les règles, règlements et stipulations pertinents de l’accord. En collaboration avec le CIFOR et l’OIBT, l’entreprise a mis en application l’exploitation à faible impact. Les préparatifs avant les opérations d’exploitation forestière, c.-à-d. les plans, la division en séries, la construction de routes/pistes, les opérations préalables à la récolte, l’établissement et la gestion des installations, le cubage, le débusquage, le transport etc.. étaient tous effectués selon les prescriptions et les spécifications. L’entreprise continuait également de s’acquitter de ses obligations sociales et environnementales. Elle était sur le point de reclasser ses opérations, de la production de grumes à la production de sciages, en créant localement une scierie. C’est à ce moment (juillet 2002) que des revers inattendus ont perturbé les plans de l’entreprise. Tout d’abord, le gouvernement local (Bupati) a octroyé des concessions parallèles (empiétant sur la concession de PT. Inhutani II) à des fins d’exploitation forestière et d’utilisation des terres, passant outre aux droits légaux de PT. Inhutani II. Ensuite, la communauté d’un village local a revendiqué le droit “adat” sur une partie de la concession de PT. Inhutani II, de même qu’une indemnisation pour des opérations conduites par l’entreprise sur les terres (communales). Ces agissements semblent faire partie de la stratégie du gouvernement local pour affirmer ses droits sur les ressources foncières dépendant de sa juridiction; et des situations analogues semblent s’être présentées ailleurs dans le pays. Ce cas illustre comment, malgré la validité légale de la concession et les bonnes intentions et actions de la part de l’entreprise en cause pour gérer la forêt de manière durable, celle-ci (l’entreprise) peut malgré tout être sérieusement touchée par les rivalités de pouvoir entre gouvernement central et gouvernement local, en particulier dans une situation de gouvernance inadéquate et de non-respect des normes légales.
Sustainable Management of Tropical Forests – Private Sector Experiences PT. Sari Bumi Kusuma PT. Sari Bumi Kusuma est une concession d’exploitation forestière privée, dans une zone assez reculée (à environ 460 kilomètres de Pontianak) dans la province centrale du Kalimantan (Indonésie) et couverte essentiellement de forêts tropicales ombrophiles. Les grumes produites sont transformées en sciages, moulurés et contreplaqué commercial. L’attachement de l’entreprise au soutien du développement de la communauté locale en fait une opération unique. PT. Sari Bumi Kusuma a donné d’excellents résultats lors de toutes les évaluations passées de sa performance. Respectant rigoureusement les prescriptions, tous les règlements et règles d’aménagement forestier durable et toutes les conditions de l’accord à cet égard, PT. SBK planifie méticuleusement ses opérations et met ses plans à exécution sans s’en écarter. L’entreprise applique un système de coupes sélectives et plantations en bandes (TPTJ) qui permet d’améliorer progressivement la productivité de la forêt exploitée. Les bandes sont espacées de 25 mètres et, le long des bandes, de jeunes plants d’espèces de valeur cultivés en pépinière (comme Shorea leprosula, d’autres espèces de Shorea, des espèces de Diptérocarpacées) sont plantés espacés de 3 mètres. Les données de recherche indiquent que les arbres plantés en bandes atteindront un diamètre de 66 cm en 35 ans, après quoi les bandes pourront être coupées à blanc et les arbres matures d’intérêt commercial (ayant dépassé le diamètre prescrit de 45 cm) qui se trouvent dans l’espace entre les bandes pourront également être récoltés selon les règlements pertinents. Le potentiel de rendement de grumes par hectare est susceptible d’atteindre 300 m3 (comparé au rendement actuel d’environ de 50 m3). L’entreprise est actuellement en période de transition de TPTI à TPTJ. Les premières plantations en bandes dans la zone de concession ont été effectuées en 1998. Quant aux opérations pré-récolte, tous les arbres récoltables sont marqués et mesurés pour en estimer le rendement. Les arbres porteurs de graines qui fourniront les graines pour la future régénération sont également marqués afin qu’ils ne soient pas endommagés au cours de l’abattage. Les opérations d’abattage se déroulent selon le plan parcellaire et les opérations sont entreprises dans de nouvelles parcelles lorsque tout le travail dans les parcelles précédentes est officiellement terminé. Les coupes sont entièrement mécanisées; l’abattage directionnel est exigé afin d’éviter/réduire les dommages. Les grumes sont mesurées par des spécialistes. Toutes les grumes produites sont transformées dans les scieries de l’entreprise à Pontianak. L’entreprise a une longue tradition en faveur de l’amélioration des moyens et des conditions d’existence des communautés locales. Elle s’acquitte de ses obligations sociales en investissant dans des programmes de développement/sociaux (éducation, santé, infrastructure rurale, plans de développement villageois et agricole, etc.). Elle entreprend également des activités axées sur la conservation environnementale et la recherche, et collabore avec des universités et des organismes de recherche nationaux. Les critères permettant de dire que PT. SBK est un succès en matière d’aménagement forestier durable sont les suivants: • • • • • • • •
Productivité accrue grâce à une technologie améliorée. Forêt et stocks sur pied en bonne santé. Application d’un bon système de planification pour la gestion forestière (plans de récolte compris) et l’exécution des plans. Réduction du gaspillage lors des coupes. Bons rapports avec la communauté locale. Importance donnée aux programmes de caractère social au profit de la communauté. Engagement à l’égard de la R&D et de la conservation environnementale. Observation rigoureuse des règles et règlements concernant la gestion de concessions forestières.
Tandis que PT. SBK se propose d’obtenir une ‘certification’ à des fins de relations publiques, l’entreprise doute des avantages réels à en tirer, vus dans le contexte de l’inaction face aux coupes illégales anarchiques. Etant donné que les grumes illégales sont, par quelques subterfuges ingénieux, ‘légalisées’, ce qui est indispensable au premier chef c’est un ‘label de légalité’. En outre, il est nécessaire de rationaliser et de simplifier davantage les principes et les étapes de la certification des UGF.
PT. Bina Lestari 1 (Riau) PT. Bina Lestari 1 (Riau) est une concession privée de mangroves, située dans la province de Riau (Indonésie), gérée selon le système de coupes sélectives en vue de produire des copeaux de bois des mangroves. L’entreprise avait planté des espèces de mangrove pour compléter ses ressources. C’est aussi un des cas où les pouvoirs publics locaux (Kabupaten) ont récemment délivré un permis de prélèvement de bois empiétant sur les opérations de l’entreprise et où le processus de décentralisation l’a conduite à fermer.
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Sustainable Management of Tropical Forests – Private Sector Experiences Ayant été mise sur pied par des forestiers de profession, PT. Bina Lestari I (Riau) a pendant longtemps géré la concession de mangroves selon les bonnes règles de sylviculture en respectant toutes les conditions stipulées dans l’accord de concession. Les plans de gestion ont été établis en temps voulu et correctement mis en oeuvre. Tout en appliquant un système de coupes sélectives (diamètre de 10 cm et supérieur), la régénération naturelle a été complétée par la plantation artificielle (enrichissement), partout où elle était nécessaire. La mangrove étant un écosystème fragile, sa protection était assurée avec beaucoup de soin. Grâce à l’assistance/collaboration de JICA et de LIPI, l’entreprise a établi des parcelles expérimentales à l’intérieur de la concession – en vue d’étudier l’écologie des mangroves et d’améliorer leur gestion. PT. Bina Lestari 1 (Riau) a respecté les besoins de la communauté locale et ses droits au bois de feu, en lui permettant l’accès aux résidus d’ébranchage-façonnage des arbres abattus; et a libéralement investi dans des programmes de bénéfices sociaux au profit de la communauté locale. Le bois de mangrove récolté dans la zone de concession était livré à une usine de copeaux de bois à proximitén, laquelle à son tour exportait les copeaux vers la Corée et le Japon. La période de concession octroyée à PT. Bina Lestari 1 (Riau) est venue à expiration en 1998. L’entreprise avait demandé suffisamment à l’avance, en 1996, que la concession soit renouvelée. Le MdF avait également accordé deux courtes prolongations de la concession jusqu’en fin mars 2001. Qui plus est, l’entreprise avait déjà payé les frais de licence pour toute la période de renouvellement de 20 ans. Malgré cela, le MdF a laissé traîner l’affaire de la prolongation finale, sous prétexte qu’il fallait procéder à une évaluation indépendante de la performance passée de la concession, avant de prendre la décision finale. Entre-temps, le gouvernement local (Bupati), passant outre à la demande en suspens de PT. Bina Lestari 1, a octroyé, sur la zone, à une autre partie, une concession dont tous les détails n’étaient pas aisément accessibles. En raison des développements décrits ci-dessus, PT. Bina Lestari 1 est en train de mettre fin pour de bon à ses opérations de Riau. L’entreprise avait investi dans la mise en place, dans le centre de Java, d’une installation de transformation (pour la fabrication de moulurés, meubles bon marché, cadres de photos, etc.) qui devait utiliser les bois de Spathodia companulata, d’espèces d’Erythrina et d’Acacia mangium obtenus auprès de cultivateurs et de propriétaires privés. Ce cas est intéressant parce que PT. Bina Lestari 1 (Riau) a géré la concession de façon saine et durable, aussi longtemps qu’elle l’a pu. L’entreprise avait l’intention de poursuivre sa gestion durable de la concession, comme en témoigne le fait qu’elle avait acquitté les frais de licence prévus.
Les cas Malaysiens Les deux cas étudiés en Malaisie sont des opérations très différentes dans leur fond et dans leur forme: la première est une nouvelle UGF, l’autre est sous gestion de rendement soutenu depuis très longtemps; la première est une forêt de Diptérocarpacées dans l’Etat de Sarawak, l’autre est une forêt de mangrove dans l’Etat de Perak en Malaisie péninsulaire; la première produit des grumes de sciage/placage, l’autre des poteaux et du bois de feu des mangroves; la première est exploitée selon le système de gestion sélective, l’autre opère par coupes rases avec régénération naturelle complétée par des plantations artificielles. Ces cas mettent en évidence que les ingrédients cruciaux pour assurer une gestion réussie et durable des ressources forestières par les secteurs privé aussi bien que public sont, entre autres, la formulation et la mise en oeuvre efficace de politiques rationnelles, étayées par une bonne planification, un financement adéquat et une gouvernance appropriée.
Samling Plywood (Baramas) Sdn Bhd. L’UGF Selaan-Selongo de Samling Plywood (Baramas) Sdn Bhd est une concession privée, située dans la région du haut Baram au Sarawak (Malaisie), qui produit des contreplaqués. La zone de concession se trouve dans la forêt tropicale ombrophile, où l’agriculture itinérante est pratiquée dans environ 15% du secteur. Sur une superficie totale de 204.150 ha, la forêt couvre à peine 169.440 ha. C’est une concession comprenant en majeure partie des forêts primaires. La superficie de coupe annuelle est d’environ 8.430 ha, après avoir exclu les aires affectées à des fins de protection et d’utilisation par la communauté, et sa possibilité annuelle est d’environ 100.000 m3. Tandis qu’une partie du bois prélevé est utilisée localement pour la transformation (pour la plupart en contreplaqués) à l’usine de transformation de l’entreprise près de Miri, le reste est exporté sous forme de grumes. La gestion forestière est basée sur le système de coupes sélectives et les opérations sont entièrement mécanisées. l’UGF de Selaan-Selongo n’est qu’une des multiples opérations de ce type gérées par le groupe Samling. Samling Plywood (Baramas) Sdn Bhd n’a que récemment (1998) envisagé sérieusement de procéder à l’aménagement forestier durable dans l’UGF. Le plan de gestion forestière de 10 ans pour cette unité précise, par phase, toutes les activités à entreprendre (pré-abattages, abattages, postérieures aux abattages), pour atteindre les objectifs de l’aménagement forestier durable.
Sustainable Management of Tropical Forests – Private Sector Experiences Les problèmes qui se posent à l’entreprise ont trait aux caractéristiques des terrains dans la zone de concession et à son éloignement, lesquels exigent un investissement pour l’infrastructure. La communauté indigène qui vit dans la forêt pratique l’agriculture itinérante sur les terres qui leur sont réservées et n’est impliquée dans aucune activité illégale. Ce cas est nouveau et n’a pas encore fait ses preuves mais il a le potentiel de devenir un modèle d’aménagement forestier durable.
Matang Mangrove Forest L’entreprise du Département des forêts de l’Etat de Perak dans la forêt de mangrove à Matang, qui s’étend sur une superficie de 40.151 ha, est une activité intégrée, visant à produire de manière durable des produits forestiers ligneux et non ligneux. Le produit principal est le charbon de bois. Le système forestier adopté consiste en coupes rases périodiques dans les parcelles, suivies de régénération naturelle complétée par des plantations artificielles selon les besoins. Sur un total de 40.151 ha, le secteur productif couvre 32.746 ha. L’objectif principal de la gestion des mangroves de Matang est la propagation continue et la production d’arbres de haute qualité des espèces Rhizophora, en vue d’assurer en particulier un rendement soutenu de bois de feu et de poteaux, tout en veillant à la conservation et à la protection de l’environnement. L’exploitation durable des mangroves de Matang s’est avérée rentable. Les récentes moyennes indiquent ce qui suit : les revenus des seuls prélèvements de bois, basés sur la valeur foncière et les redevances sur le bois prélevé, se sont élevés à RM 1.561.086 par an. Par comparaison, les dépenses d’administration, de développement des forêts, des opérations forestières, des activités de conservation et de protection, pour la totalité des mangroves de Matang, s’élèvent à RM 926.550 par an. En conséquence, la moyenne nette des revenus se monte à RM 634.536 par an. On a estimé que la valeur économique réelle directe de la récolte annuelle de produits est de RM 155.474.507, répartis comme suit: Production de bois de mangrove Pêche et aquiculture Total
: RM 25.350.122 : RM 130.124.385 : RM 155.474.507
Aucune évaluation n’est disponible au sujet des valeurs intangibles (externalités) sous forme de conservation environnementale, protection des zones côtières etc.. Les mangroves de Matang sont sous gestion durable pour produire du bois de feu et des poteaux depuis près de 100 ans. Vu la nature vulnérable de l’écosystème (qui a disparu dans plusieurs régions du monde à cause d’empiétements aux fins de l’élevage des crevettes et d’exploitation forestière illégale), le succès de la gestion des mangroves à Matang mérite d’être reproduit ailleurs. Ce succès est attribuable à la haute qualité de la planification, de l’exécution, de la surveillance et du suivi.
Les cas de Papouasie-Nouvelle-Guinée Les trois cas étudiés en Papouasie-Nouvelle-Guinée sont tous des opérations d’exploitation forestière à grande échelle axées sur l’exportation. Ce sont toutes des initiatives de sociétés multinationales et reposent sur des investissements directs étrangers. Les trois sociétés appliquent sans exception les règles, règlements et conditions régissant l’exécution des accords d’aménagement forestier et satisfont aux critères normaux de l’AFD. Cependant, plusieurs enquêteurs ont fait l’importante observation que la situation de la communauté ayant des droits communaux sur les terres ne s’était pas suffisamment améliorée. Les analystes avancent plusieurs arguments pour expliquer la situation : elle résulterait de conflits et de rivalités entre tribus; la culture et le système traditionnels de partage cède sous la pression de l’économie monétaire et entraîne ce qu’on appelle des “cargo cults”; les communautés tribales n’ont pas la discipline de base nécessaire pour la production axées sur le marché ni les compétences technologiques associées; l’avarice et la corruption parmi des chefs de la communauté est un facteur négatif; la solidarité tribale/communautaire est un mythe; la propriété coutumière des terres n’est pas propice à la mise en valeur intensive des terres, etc.. Les analyses/études disponibles donnent à penser qu’il existe un fossé entre les politiques et l’intérêt public, comme entre les politiques et la pratique. Deux lacunes fondamentales sont mises en évidence : • •
manque d’éducation adéquate et de capacités des ressources humaines au sein des communautés propriétaires de terres; manque de définition et de délimitation précises des droits/propriété concernant les ressources naturelles, y compris plans d’occupation des sols, levés topographiques et informations cadastrales.
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Sustainable Management of Tropical Forests – Private Sector Experiences La leçon à en tirer c’est qu’à moins de chercher, dans une optique à long terme, à résoudre ces problèmes fondamentaux, il ne sera pas possible de guider et diriger le processus de développement vers une solution durable.
Vanimo Forest Products Ltd Comme indiqué ci-dessus, la forêt dans laquelle se trouve la concession Vanimo Forest Products Ltd, dans la province de Sandaun en Papouasie-Nouvelle-Guinée, appartient traditionnellement aux communautés tribales. Une partie des grumes produites par coupes sélectives est convertie en sciages à la scierie de l’entreprise. Les grumes non transformées et les sciages sont exportés. L’entreprise applique un système sophistiqué de gestion forestière et de planification des récoltes, conformément aux dispositions de l’accord d’aménagement forestier et aux règles et règlements prescrits par le gouvernement en la matière. Le rendement est déterminé par une combinaison de facteurs et selon le volume spécifié par la possibilité annuelle. Même si l’extension des activités de la concession dans la zone copuverte par l’accord d’aménagement n’est pas envisagée, le concessionnaire n’est autorisé à abattre que les arbres matures d’espèces d’intérêt commercial et doit conserver un stock résiduel sain pour l’avenir. A l’exception des routes principales, qui s’ajouteront à l’infrastructure rurale et bénéficieront aux communautés, toutes les installations provisoires telles que les pistes de traînage et les dépôts de grumes devront être mises hors de service afin que la forêt recouvre vite son état naturel. Pour les opérations d’abattage et de sciage, l’entreprise emploie le plus grand nombre de membres de la communauté locale que possible (même s’il leur manque souvent la discipline nécessaire pour travailler dans des conditions pénibles). En outre, l’entreprise investit dans le développement d’infrastructures sociales telles que des écoles, des foyers, des terrains de jeu, des dispensaires, l’approvisionnement en eau, un système de communication etc., ainsi que pour la mise en valeur des terres et le développement agricole. Afin d’entretenir de bons rapports avec la communauté, l’entreprise tient compte également, dans la mesure du possible, de ses demandes (et revendications) qui n’entrent pas dans les conditions agréées. De plus, VFP représente la source principale de revenus pour le gouvernement provincial de Sandaun. Parmi les aspects qui permettent de considérer VFP comme une réussite, on peut citer: • • • • • • • •
Coupes effectuées entièrement selon l’intensité approuvée, de sorte que la forêt résiduelle est laissée en état sain et durable. Strict respect des conditions de l’accord d’aménagement forestier et des règles et règlements y relatifs. Capacité de surmonter les contraintes de la mise en oeuvre d’opérations de récolte sophistiquées, dans une forêt de propriété coutumière, dans un site éloigné. Souplesse pour tenir compte de demandes extra-légales de la communauté. Soutien accordé pour la formation d’un capital social et le développement des ressources humaines au profit de la communauté locale. Source majeure de recettes du gouvernement. Génération d’emplois et de revenus locaux. Respect de la culture et des sensibilités locales.
Wawoi Guavi Consolidated TRP Blocks 1–3 Wawoi Guavi Timber Company (RH Group) est caractérisée par l’intégration des opérations d’exploitation forestière et de transformation du bois pour produire des sciages et des placages dans des sites éloignés (Panakawa et Kamusie), à 200 km environ de la côte (le point de chargement des bateaux), le long des fleuves Bamu, Wawoi et Guavi, ce qui exige un investissement considérable en infrastructure. Les forêts sont gérées et exploitées comme prescrit, avant, pendant et après la récolte, laissant la forêt résiduelle dans un état sain et peu perturbée. Vu la très faible densité de la population, l’éloignement du site et une demande locale de produits ligneux et non ligneux pratiquement inexistante, la zone d’accord d’aménagement forestier de Wawoi Guavi FMA est à l’abri d’influences anthropiques et d’activités illégales. On n’y trouve pratiquement aucun signe de dégradation environnementale. Le système de comptabilité et de surveillance des grumes retrace les mouvements des grumes de la souche aux scieries, ou au point de chargement des grumes exportées. L’exploitation du bois par l’entreprise a aidé à lancer un processus de développement dans une zone reculée du pays, grâce au développement de l’infrastructure et des ressources humaines. A part les possibilités d’emploi et la formation de revenus directs, les communautés propriétaires de terres bénéficient également de programmes sociaux et de développement mis en oeuvre par l’entreprise.
Sustainable Management of Tropical Forests – Private Sector Experiences Les principaux moyens de communication pour les communautés de cette zone et de contact avec le monde extérieur dépendent d’un service aérien exploité par une filiale de l’entreprise. La valeur totale de la contribution socio-économique de l’entreprise au gouvernement de PNG et en faveur des habitants locaux se monte à environ 23,09 millions de Kina par an. De ce montant, 17,1% profite directement aux groupes de propriétaires fonciers. Le régime coutumier de jouissance des terres, les conflits entre tribus, les taboos culturels, les insuffisances d’infrastructure, etc., sont encore de puissants facteurs qui freinent le développement socio-économique des communautés locales propriétaires de terres. L’entreprise a cependant été en mesure de traiter la situation sans causer trop de perturbation. Les aspects qui permettent de considérer l’opération Wawoi Guavi comme un cas de réussite de l’AFD sont les suivants : • • • • • • •
Pratiques d’exploitation forestière écologiquement rationnelles et non destructives, suivies d’opérations appropriées après les coupes. Intégration des opérations d’exploitation forestière et de transformation dans une zone reculée. Mise en train et soutien d’un processus du développement socio-économique dans la région de Wawoi Guavi, par la création d’infrastructures. Soutien du bien-être social des habitants locaux. Amélioration des capacités technologiques locales et développement des ressources humaines. Source de revenus pour les gouvernements provincial et national. Capacité d’entretenir de bonnes relations avec les habitants locaux.
Turama Extension FMA 1 & 2 Turama Extension FMA 1 & 2 (Prime Group Holdings) dans la province du Golfe de PNG opère dans le domaine de la production de grumes pour l’exportation dans une zone où la pression démographique est négligeable. La situation et les opérations de Turama Extension FMA 1 & 2 sont semblables à celles de Wawoi Guavi, étant situées à proximité l’une de l’autre. Turama Extension n’est cependant pas une opération intégrée et elle exporte toutes les grumes prélevées. Les zones de forêt étant conservées dans leur état naturel, sans quelque interférence que ce soit après avoir été sélectivement exploitées, elles recouvrent leur état originel en peu de temps. La gestion forestière durable dans un secteur peu peuplé et reculé revient en général à respecter le code de conduite en matière de récolte du bois. L’entreprise a également tenu compte de manière entièrement satisfaisante des autres aspects (social, économique, environnemental et institutionnel) de l’aménagement forestier durable, y compris la responsabilisation de la communauté et la création d’aptitudes locales, tel que spécifié dans l’accord d’aménagement forestier. Par conséquent, comme dans les deux autres cas de Papouasie-Nouvelle-Guinée, les opérations de Turama Extension FMA 1 & 2 peuvent être considérées comme un cas de réussite de l’aménagement forestier durable.
Le cas des Philippines Les concessions d’exploitation forestière aux Philippines sont progressivement éliminées. Le cas sélectionné pour l’étude aux Philippines aide à illustrer qu’il est difficile, dans la foulée de l’exploitation anarchique des forêts, d’instaurer l’AFD de façon stable. Pacific Timber Export Corporation (PATECO) Pacific Timber Export Corporation (PATECO) opère en vertu d’une licence de prélèvement de bois sur une superficie d’environ 34.000 ha de la forêt tropicale située à Dinapigue (Isabela) et Dilasag (Aurora) le long de la côte nord-est de Luçon. L’entreprise a géré la forêt de la concession sur un cycle de 30 ans, selon le système sélectif en prélevant une partie des arbres matures et trop vieux, en fonction de leur diamètre à hauteur d’homme. Toutes les opérations de gestion sylvicole telles que l’inventaire pré-récolte, l’estimation de la possibilité, le marquage les arbres à enlever (et de ceux à conserver comme arbres-mères) et, après la récolte, le constat de la régénération, l’amélioration du bois sur pied, les plantations d’enrichissement et les mesures de protection du peuplement, sont effectuées telles que prescrites dans les plans d’exécution approuvés. L’entreprise a également établi 120 ha de plantation dans des zones appropriés. Les dimensions et les périmètres de la concession ont été modifiés plusieurs fois à cause de changements d’utilisation des sols. Du point de vue de la gestion, la concession a été classée selon les catégories suivantes: a) forêt de protection et b) forêt de production. La forêt de protection se compose de forêts primaires, forêts moussues, berges de fleuves, zones tampons, pentes égales ou supérieures à 50%, terrains rocheux et à l’état sauvage. Les forêts de protection sont strictement vouées à la conservation. La forêt de production inclut: les forêts résiduelles naturelles et
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Sustainable Management of Tropical Forests – Private Sector Experiences les forêts plantées. Les forêts de production sont divisées en séries en fonction du nombre d’années écoulées après les coupes permettant de garantir une récolte du bois durable et des traitements sylvicoles, tel que prescrit dans les plans de gestion du bois et de développement. Conformément à l’ordonnance DAO 24 de 1991, l’entreprise ne procède aux abattages que dans les forêts secondaires où les coupes précédentes remontaient à au moins 26 ans auparavant. La production annuelle de grumes se monte actuellement à près de 20.000m3. Les grumes sont transformées en sciages, contreplaqués, portes, bois de construction etc.. L’entreprise a respecté les normes environnementales et a veillé à se conformer aux normes minimales dans toutes les opérations. La chasse est interdite dans la zone de concession, sauf dans des cas très spéciaux, par exemple pour la collecte de spécimens d’espèces sauvages à des fins d’étude et de recherche. Les autochtones qui dépendent uniquement de la chasse pour leur nourriture sont autorisés à chasser pour assurer leur subsistance et pour respecter les traditions d’offrandes spirituelles. La période de la licence actuelle de PATECO doit expirer en 2006 et la poursuite des opérations au-delà de cette date est incertaine (ou peu probable). C’est pourquoi l’entreprise n’a pris aucune initiative en vue de faire certifier la concession. L’entreprise projette de créer des plantations de ligniculture à grande échelle pour alimenter ses unités de transformation industrielle. L’opération PATECO est considérée comme un succès, ayant parfaitement résisté à toutes les vicissitudes qu’ont entraînées les changements de politique et d’orientations, aux activités illégales non loin d’elle et à la menace d’insurgés, sans compromettre son attachement à l’AFD. La performance de l’entreprise a été jugée satisfaisante lors d’évaluations successives. C’est une des 6 concessions forestières ayant réussi à “survivre” jusqu’au bout; et probablement la seule ayant un plan de gestion forestière dont l’exécution a été approuvée jusqu’à la fin de sa période de concession. Ce cas sert d’exemple représentatif de la façon dont les entreprises privées intervenant dans la gestion et l’exploitation des forêts sont touchées par des circonstances indépendantes de leur volonté telles que les changements fréquents et l’inadéquation des politiques, les faiblesses de gouvernance, l’incohérence des règlements et l’instabilité du climat d’investissement.
Les questions qui se posent Les expériences de ces cas peuvent aider, dans une certaine mesure, à trouver des solutions raisonnables aux points soulevés ci-après, sous sept rubriques: questions liées à la gouvernance; questions techniques/scientifiques; questions liées au commerce; questions institutionnelles; questions environnementales; questions socio-économiques; et questions primordiales. Les questions liées à la gouvernance incluent : manque d’engagement envers l’AFD au niveau des politiques et des orientations; manque d’information concernant les ressources; prévalence de l’exploitation forestière illégale et contrebande; faiblesses de gouvernance qui se manifeste par un défaut d’obligation redditionnelle, de transparence et de participation des parties prenantes; contradiction entre le fait de préconiser l’EFI et la certification et celui de ne pas chercher à maîtriser les activités illégale/la corruption. Les questions liées à la science et la technologie sont souvent aggravées par des faiblesses institutionnelles. Elles incluent: l’insuffisance de financement, d’équipement et de ressources humaines dans les domaines de la recherche et du développement; la diffusion inadéquate des moyens technologiques; la préoccupation professionnelle axée davantage sur des aspects conceptuels qui s’attachent à ‘réinventer la roue‘ plutôt qu’à se pencher sur des problèmes pratiques”. Les questions relatives au commerce se répercutent directement et indirectement sur le développement (durable); la ‘certification’ et les aspects connexes doivent être considérés dans cette optique. Les questions institutionnelles couvrent : des aptitudes de planification insuffisantes, l’inadéquation des politiques et des instruments, la faiblesse des agences exécutives, la corruption dans l’administration publique, les lacunes et imperfections dans les règles et les règlements. Les questions environnementales doivent porter sur l’utilisation judicieuse par rapport à la non-utilisation; la dégradation de l’environnement due à l’action délibérée, la viabilité commerciale des PFNL; le rôle de l’activisme écologique et ainsi de suite. Les questions socio-économiques assument de graves proportions en raison de la participation insuffisante des parties prenantes et du manque de préoccupation et d’engagement de la part des décideurs dans le domaine social. Il convient à cet égard d’entreprendre des recherches sur les politiques et le comportement, sur l’évaluation des impacts socio-économiques, sur le rôle créateur que peut jouer le mécontentement, et sur l’équilibre entre préoccupations écologiques et économiques. Les questions primordiales présentent en général des nuances et des connotations institutionnelles. La durabilité à long terme dépendra du développement d’avantages compétitifs grâce à une plus grande efficacité et non en cherchant à bénéficier comparativement des avantages que procure la nature.
Sustainable Management of Tropical Forests – Private Sector Experiences Résultats et conclusions La foresterie durable est un idéal à poursuivre et sa contrainte majeure ne résulte pas du manque de technologie, mais de facteurs institutionnels qui militent contre l’application de la meilleure technologie disponible. Ces facteurs institutionnels prennent la forme de perceptions à court terme et de préférences quant aux périodes d’investissement, et sont le reflet d’un manque d’empressement de la part des décideurs et des gestionnaires à adopter un système d’aménagement forestier approprié. Le système d’aménagement forestier est un ensemble de règles et de techniques conçu en vue de maintenir les terres boisées dans un état désiré, y compris les processus par lesquels les règles et les techniques sont adaptés à des circonstances changeantes. Au minimum, les activités de gestion devraient imposer le respect des périmètres, déterminer les niveaux de rendement pour le prélèvement de produits forestiers et les contrôler, et partager équitablement les bénéfices de la ressource et les coûts qu’elle entraîne. Ce système d’aménagement forestier sera durable lorsqu’il pourra s’adapter aux changements malgré les pressions auxquelles il est soumis, et qu’il pourra maintenir la forêt en l’état avec le passage du temps. Des changements inopportuns aux systèmes de gestion et aux pratiques forestières peuvent avoir un impact considérable sur les forêts et leur diversité biologique, leur santé et leur vitalité (Poore 1989, Dawkins & Philip 1998). Comme évoqué ci-dessus, les cas de réussites dans le secteur privé examinés ici ne représentent pas la majorité des situations. Ce sont des modèles sélectionnés sur la base de certains critères de durabilité pour en évaluer la bonne performance. Leur mérite doit être jugé dans le contexte de la situation problématique qui existe au niveau du pays ainsi qu’au niveau régional, surtout lorsque les opérations ont pu fonctionner dans des conditions difficiles (et défavorables). Il convient cependant de souligner que ces cas réussis n’ont pas été mis en lumière pour camoufler nos échecs, mais comme une mise en garde pour éviter la catastrophe imminente en assurant la gestion/mise en valeur saine et durable de ce qui reste des ressources forestières. La route vers l’AFD est donc pleine d’embûches. Le développement conceptuel ou l’existence de C&I pour l’AFD, ou les plans ingénieusement préparés, ne garantiront pas à eux seuls une gestion améliorée et soutenue des forêts, ce qui ne justifie pas l’assertion selon laquelle, pour être efficace, l’AFD représente une tâche énorme exigeant de l’argent, de la main d’oeuvre, des matériaux et la gestion. Ce qu’il exige c’est un engagement sans réserve, soutenu par des institutions appropriés, la technologie, des ressources humaines, un mécanisme de coordination et le ciblage des moyens financiers.
RESUMEN ANALÍTICO El proyecto PD 48/99 Rev.1 (M,F): “Intercambio de información y experiencias exitosas del sector privado en materia de ordenación forestal sostenible”, cofinanciado por la OIMT y el Gobierno de Malasia, tiene como objetivo fomentar la ordenación sostenible de los bosques tropicales facilitando el acceso a la información y experiencias existentes en los países sobre la ordenación forestal sostenible y aumentando la concientización general al respecto.
Alcance del estudio Ordenación forestal sostenible Este estudio se concentra en la ordenación sostenible de los recursos forestales, los cuales constituyen insumos escasos que pueden dar un rendimiento a través de la producción o provisión de bienes y servicios. Todo bien gratuito está caracterizado por un suministro ilimitado. Muchos bienes que anteriormente se consideraban gratuitos, como la madera, el pescado o el agua dulce, se han tornado escasos con el tiempo debido a un aumento drástico de su uso, a menudo dispendioso, junto con el crecimiento demográfico y el incremento de los niveles de ingresos. La ineficiente adjudicación de los recursos ha agravado la escasez de los mismos. La ordenación y utilización insostenible de los recursos forestales ha sido causa de gran preocupación debido a sus repercusiones e impactos ambientales y socioeconómicos. Pese a varias iniciativas emprendidas a nivel nacional, regional y mundial para lograr la OFS, la deforestación y la degradación de bosques aún continúan a una escala inaceptable que amenaza con perturbar el equilibrio ecológico del planeta y causar serios daños en el plano ecológico. Según la definición de la OIMT (1998), la ordenación forestal sostenible es el proceso de manejar los bosques para lograr uno o más objetivos de ordenación claramente definidos con respecto a la producción de un flujo continuo de productos y servicios forestales deseados, sin reducir indebidamente sus valores inherentes ni su productividad futura y sin causar indebidamente ningún efecto indeseable en el entorno físico y social. La ordenación forestal sostenible comprende la planificación de la producción de productos maderables y no maderables tanto con fines comerciales como para satisfacer las necesidades locales. Incluye la protección o la designación de reservas de flora o fauna con fines recreativos o ecológicos. Garantiza que la conservación de tierras
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Sustainable Management of Tropical Forests – Private Sector Experiences forestales para la agricultura y otros fines tenga lugar de forma correctamente planificada y controlada; comprende la recuperación de tierras baldías y bosques degradados y el establecimiento de plantaciones forestales; fomenta la integración de árboles en tierras de producción agrícola y agroforestal; promueve una mejor investigación y procesos participativos de planificación; cubre la prevención y mitigación de incendios y fomenta la restauración forestal. En suma, la ordenación forestal sostenible constituye una medida práctica y específica para llevar el concepto de la sustentabilidad al contexto real del bosque. Para ello, se necesita el uso de los bienes y servicios del bosque a niveles que no produzcan cambios en el medio ambiente (inclusive la eliminación de los patrones dispendiosos de consumo) y que no excedan la capacidad de regeneración del bosque. Todo sistema viable de ordenación y manejo forestal debe conducir a niveles sostenibles de aprovechamiento, mejorar las prácticas de ordenación, aumentar la conservación forestal, distribuir los beneficios derivados del bosque a una mayor diversidad de interesados, y ofrecer incentivos no distorsionadores a personas y empresas con el fin de estimular el desarrollo de los recursos forestales. La ordenación forestal sostenible es una tarea inmensa que requiere dinero, mano de obra, materiales y capacidad de manejo. Los gobiernos están delegando cada vez más la responsabilidad de la ordenación forestal sostenible en una amplia diversidad de instituciones del sector privado, y dicho sector está experimentando cambios tanto estructurales como operativos. Todas las actividades orientadas a la producción y utilización de bienes y servicios de los bosques y la conservación de los recursos forestales se encuentran dentro del alcance de este estudio, inclusive los productos maderables (provenientes de bosques naturales o plantados), los productos forestales no maderables, las actividades recreativas y los servicios ambientales.
El sector privado A los efectos del presente estudio, el sector privado no necesariamente comprende sólo personas particulares o empresas privadas. Incluye también todas las entidades autónomas (con libertad financiera y administrativa), que funcionan en base a los principios administrativos comerciales de la eficiencia, la descentralización de poderes decisorios, la contabilidad transparente y la movilización de recursos mediante fuentes múltiples/competitivas, y actúan sin vinculación a normas y reglamentaciones burocráticas en sus operaciones y asuntos cotidianos. Por lo tanto, las empresas/corporaciones gubernamentales, las fundaciones y fondos públicos, las cooperativas, las organizaciones locales, las ONG y los proyectos y programas independientes, pueden todos incluirse dentro de la competencia y alcance del sector privado.
Experiencias exitosas Se consideran experiencias exitosas aquellas que reúnen ciertos criterios de éxito. Sin embargo, no siempre resulta práctico para una empresa o entidad cumplir plenamente con todos los criterios diferentes que son reflejo de un caso ideal. Con frecuencia, los criterios pueden contraponerse, por ejemplo, la conservación vs. las necesidades locales/básicas. Cuando se cumple con éxito uno de estos criterios, se fracasa en el otro. Como ya se mencionó anteriormente, este proyecto está orientado al intercambio de información y experiencias; e incluso un fracaso puede con frecuencia representar una útil lección o experiencia. Los casos de éxito parcial, sin duda, merecen también nuestra consideración. Para evaluar el grado de éxito en el logro de la ordenación sostenible de bosques tropicales se utilizaron los siguientes criterios, entre otros: -
Existencia de un sistema de planificación a largo, mediano y corto plazo, Determinación de la posibilidad de corta anual, Aplicación de un sistema de información para la ordenación forestal, Unidades de ordenación forestal claramente demarcadas, La ordenación y el manejo se basan en un inventario forestal, Se aplican técnicas de extracción de impacto reducido, Se ha definido y se cumple un nivel mínimo aceptable de conservación ambiental, La producción es compatible con los sistemas silvícolas, Se aplican medidas de protección para controlar plagas, enfermedades, incendios, etc., Se cuenta con capacidad para atraer inversiones viables, Se cumplen las obligaciones relativas a la equidad social, Se adoptan incentivos apropiados y no distorsionadores, Se garantiza la eficacia de los sistemas de control y certificación.
Sustainable Management of Tropical Forests – Private Sector Experiences Actividades del proyecto El proyecto se inició en septiembre de 2001. Inicialmente se había previsto una duración total de 26 meses, pero se produjeron ciertas demoras. Las actividades del proyecto se dividieron en distintas etapas: planificación y levantamientos; estudios de casos; conferencia internacional; y difusión de los resultados de la conferencia.
Encuesta Q500 La principal tarea prevista para la primera etapa fue una encuesta basada en un cuestionario (Q500), dirigida a entrevistar a 500 empresas/entidades de todo el mundo sobre los distintos aspectos de la ordenación forestal sostenible. Esta etapa se terminó a fines de julio de 2002 y en septiembre de ese mismo año se presentó un informe a las autoridades del proyecto con la información sobre el desarrollo y los resultados de la encuesta Q500. A través de la encuesta Q500, se obtuvieron respuestas independientes por escrito de un gran número de empresas/entidades relacionadas con el manejo de bosques y/o empresas forestales. Se recibieron un total de 82 respuestas a los 548 cuestionarios enviados en la región de Asia y el Pacífico. Si bien el índice de respuestas fue bajo y menor de lo esperado, no fue en absoluto decepcionante. El 86% de las respuestas (71 de 82) fueron de buena calidad y contenían información útil e interesante, que cubría una amplia diversidad de situaciones; en otras palabras, la información recibida fue más que suficiente para proceder con el estudio. En este sentido, los resultados de la encuesta Q500 en la región de Asia-Pacífico fueron alentadores. Existieron diversos motivos para el bajo número de respuestas recibidas, entre los que se destacan los siguientes: •
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En los últimos años, se cerraron varias concesiones madereras y muchas de las direcciones donde se enviaron los cuestionarios Q500 ya no existen. Muchos de los cuestionarios fueron devueltos sin llegar al destinatario. Muchos de los productores llevan a cabo una explotación irracional de madera y, por lo tanto, no les interesaba contestar verazmente el cuestionario. El problema es el incumplimiento de las normas de ordenación forestal sostenible. Éste es un factor particularmente importante en Indonesia, según lo confirmaron extraoficialmente los funcionarios de algunas empresas. Los concesionarios tienen miedo de las ONG. Incluso los buenos concesionarios tratan de evitar la atención temiendo que las ONG cuestionen la veracidad de sus afirmaciones. Probablemente, el índice de respuestas aumentaría si se pudiera garantizar absoluta reserva a los entrevistados. Existe cierta reticencia a involucrarse con los organismos intergubernamentales /internacionales. Por ejemplo, un país no estaba conforme con un artículo aparecido recientemente en Actualidad Forestal Tropical en el que se insinuaba que en su territorio existía un nivel desenfrenado de extracción ilegal. Algunos gobiernos impusieron como requisito que se enviaran los cuestionarios y las respuestas a través de un organismo gubernamental específicamente designado. En varios casos (p.ej. Filipinas) el período restante de los contratos o concesiones está a punto de vencer y su renovación no es segura. En otros casos, el sistema de concesiones apenas se está comenzando a aplicar (p.ej. en Camboya) y se están sufriendo los problemas normalmente asociados con el inicio del proceso.
Análisis de las respuestas Las respuestas recibidas para las diferentes preguntas se tabularon y analizaron para determinar la calidad de la ordenación forestal en relación con los siguientes parámetros: el tipo de tenencia y la superficie en cuestión; los tipos de bosque; el grado de conocimiento de las prácticas forestales sostenibles; la seguridad y el bienestar de los obreros; la producción de madera en rollo; los productos maderables, no maderables (PFNM) y los servicios provistos por los bosques; la planificación del manejo forestal; los sistemas y prácticas silvícolas; las normas y controles ambientales; la planificación y reglamentación del aprovechamiento forestal; la conservación de la biodiversidad; las contribuciones y servicios sociales; el cumplimiento de requisitos legales; la investigación y el desarrollo; y la certificación forestal. El análisis realizado reveló que en la mayoría de los casos el manejo forestal no es adecuado y, con frecuencia, tampoco es sostenible. En relación con varios aspectos, se observaron notorias brechas entre la normativa (o los principios) y la práctica. En muchos casos los planes no se aplican. La lección general que se podría derivar de este proceso es que si no se cubren las brechas existentes entre la normativa/planificación y la práctica, no se podrá garantizar la ordenación forestal sostenible en gran escala o a escala nacional y a largo plazo. Al mismo tiempo, fue alentador observar en las respuestas recibidas, que alrededor del 25% de los administradores o empresarios forestales están comprometidos con la causa de la silvicultura sostenible. La excelencia de esta minoría brinda esperanzas para el futuro.
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Sustainable Management of Tropical Forests – Private Sector Experiences Preselección para el QS2 Sobre la base de las respuestas del cuestionario, se realizó una preselección de las empresas entrevistadas para identificar a aquellas que pudieran someterse a una caracterización detallada en la segunda etapa de la encuesta (QS2). En este proceso, se preseleccionaron 22 empresas /instituciones del total de 82. Para la preselección se adoptó un proceso de eliminación sucesiva de las empresas consideradas deficientes en relación con los criterios de sustentabilidad (por ejemplo, empresas que no aplicaban prácticas forestales sostenibles; no contaban con un sistema de planificación del manejo forestal; no disponían de un plan de aprovechamiento; no adoptaban niveles y controles mínimos como la posibilidad de corta anual; carecían de personal profesional y mano de obra calificada; y mostraban una gran discrepancia en las respuestas de las diferentes preguntas). Con ello se pretendía asegurar que el desempeño de los candidatos (empresas) escogidos fuese tecnológicamente correcto, socialmente responsable, ecológicamente adecuado y económicamente eficiente. Teniendo en cuenta que era necesario estratificar las muestras que se deseaban caracterizar y dada la necesidad de asegurar un equilibrio en la cobertura geográfica, las categorías de recursos y productos, el tipo y la magnitud de las operaciones de manejo forestal y otras características, para la segunda etapa del estudio se seleccionaron 12 empresas (de cinco países: India, Indonesia, Malasia, Papua Nueva Guinea y Filipinas). Además de cumplir con los principales criterios de sustentabilidad adoptados para el proceso de preselección, las empresas seleccionadas también habían abordado algunos de los problemas experimentados comúnmente en el sector forestal, tales como aquéllos relacionados con la necesidad de asegurar una planificación meticulosa y una ejecución metódica de las actividades; coherencia en sus acciones demostrada en la permanencia del servicio sostenible; investigación y desarrollo tecnológico; enfoque dinámico para el desarrollo sostenible mediante un aumento de productividad; enfoques innovadores; énfasis en los beneficios ambientales y socioeconómicos; participación de la población en la planificación, la ejecución y la repartición de beneficios; transparencia y consulta de las partes interesadas; estructuras institucionales mejoradas y participativas; y capacidad para adaptarse a situaciones cambiantes. Según lo indicado, las empresas seleccionadas representan una diversidad de situaciones en cuanto a su magnitud, combinación de productos, el sistema de manejo adoptado, el método utilizado en las operaciones de extracción, los aspectos de tenencia, la fuente de inversión (propiedad de la empresa), la utilización de los productos extraídos, el mercado de los productos y la experiencia de la empresa (período de existencia).
Diversidad de los casos seleccionados Las empresas seleccionadas para una caracterización detallada representan una diversidad de situaciones y tienen distintas evoluciones históricas en la ordenación y el desarrollo de bosques en la región: •
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Un rasgo interesante de ITC Bhadrachalam Paperboard Ltd. en la India es el patrocinio y la iniciativa de la empresa para fomentar la participación de los pequeños agricultores en la producción de madera para pulpa a partir de variedades de especies genéticamente mejoradas y de alto rendimiento, con especial énfasis en los avances científicos y tecnológicos, un programa de divulgación, sistemas de recompra garantizada, e interacción social. Madhya Pradesh State Minor Forest Produce (Trade and Development) Co-operative Federation Ltd. es una entidad autónoma que participa en el desarrollo de productos forestales no maderables y cubre principalmente los bosques tropicales caducifolios del estado de Madhya Pradesh de la India. Cuenta con la activa participación de un gran número de cooperativas de productores primarios en el manejo, el aprovechamiento y el comercio de recursos. PT Suka Jaya Makmur es una concesión forestal privada de la provincia indonesia de Kalimantan Occidental, que comprende únicamente áreas de bosque húmedo tropical (con algunos cultivos migratorios marginales). Produce chapas, tableros laminados, tableros enlistonados, molduras y láminas para alma de contrachapados. La empresa mantiene un alto nivel en sus prácticas de manejo forestal. PT Inhutani II es una empresa forestal estatal y su área de operaciones es Malinau en Kalimantan Oriental, Indonesia. Actualmente tiene nuevos problemas jurídicos y sociales debido al proceso de “descentralización” y a que la comunidad local ha reclamado derechos “adat” sobre los recursos naturales. PT Sari Bumi Kusuma es una concesión privada, situada en una zona bastante remota (a alrededor de 460 km de Pontianak) en la provincia indonesia de Kalimantan Central, y comprende esencialmente áreas de bosque húmedo tropical. Los bosques se manejan a través de un sistema de corta selectiva y plantación en fajas. La madera en rollo producida se transforma en madera aserrada, molduras y contrachapados comerciales. La empresa reviste un carácter único por haberse comprometido a apoyar el desarrollo de la comunidad local. PT Bina Lestari I (Riau) es una concesión privada de manejo de manglares, situada en la provincia indonesia de Riau. El manejo se basa en un sistema selectivo para producir partículas de madera de mangle. La empresa ha establecido también plantaciones forestales para complementar los recursos naturales. Se trata
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también de un caso en que, recientemente, se produjo una superposición de derechos con un permiso de extracción maderera otorgado por el gobierno local (Kabupaten) y las dificultades relacionadas con el proceso de descentralización han llevado al cierre de operaciones de la empresa. Samling Plywood (Baramas) Sdn Bhd es una concesión privada situada en Sarawak, Malasia, que utiliza parte de su producción de madera rolliza para la fabricación de contrachapados. El área de concesión comprende extensiones de bosque húmedo tropical, con cultivos migratorios en más del 15% del territorio. Las prácticas de manejo forestal de la empresa se ajustan a los criterios de sustentabilidad. Las operaciones del Departamento Forestal del Estado de Perak (Malasia) en los bosques de mangle (manglar de Matang), con una extensión de alrededor de 40.000 ha, constituyen una actividad integrada para producir sosteniblemente productos forestales maderables y no maderables. El principal producto es el carbón vegetal y el sistema silvícola adoptado es la tala rasa seguida por la regeneración natural y/o artificial. Se trata de un caso único con alrededor de 100 años de experiencia en prácticas eficaces de ordenación forestal sostenible. Vanimo Forest Products Ltd., en la provincia de Sandaun de Papua Nueva Guinea, es una empresa privada de una corporación multinacional que opera por contrato con el gobierno del país dentro del sistema de compra de derechos madereros (Timber Rights Purchase System). El bosque incluido en el contrato pertenece, por derechos tradicionales, a las comunidades tribales y comprende un área de bosque húmedo tropical. La extracción de madera se lleva a cabo a través de un sistema de corta selectiva. Parte de la madera en rollo extraída se transforma en madera aserrada en el aserradero de la empresa. La operación está totalmente orientada a la exportación. Wawoi Guavi Timber Company (RH Group), situada en los confines de la Provincia Occidental de Papua Nueva Guinea, es una empresa que integra la extracción de madera con la producción de madera aserrada y chapas para exportación, para lo cual requiere un nivel considerable de inversión en infraestructura. Este grupo empresarial lleva a cabo una amplia diversidad de actividades. Turama Extension FMA 1-3 (Prime Group Holdings), en la Provincia del Golfo de Papua Nueva Guinea, está dedicada a la producción de madera en rollo para exportación en una zona con una presión demográfica insignificante. La producción de madera en rollo se realiza a través de un sistema de corta selectiva, dejando un nivel aceptable de masa residual. La empresa Pacific Timber Export Corporation de Filipinas opera con una licencia (concesión) maderera en un área de aproximadamente 34.000 hectáreas de bosque húmedo tropical bajo un estricto sistema de manejo selectivo. La madera producida se transforma en madera aserrada, contrachapados y productos de carpintería para construcción. El período actual de la licencia se vence en alrededor de tres años y no se sabe con certeza si continuarán las operaciones después de esa fecha. El funcionamiento de la concesión se ve limitado también por las actividades ilegales de extracción y la amenaza de grupos insurgentes.
La caracterización detallada de todos estos casos se llevó a cabo en un período de ocho meses, de octubre de 2002 a mayo de 2003. Este ejercicio, especialmente la evaluación del desempeño de las empresas seleccionadas con respecto a la situación general reinante en el sector, generó un gran caudal de información y datos sobre el funcionamiento del sector privado en el ámbito forestal, inclusive las ventajas, las deficiencias y limitaciones, las oportunidades y potencialidades, y las amenazas existentes.
Situación forestal en la región Asia (Occidental, Central, Meridional, Sudoriental y Oriental) y Oceanía en conjunto poseen 746 millones de hectáreas de bosque, que comprenden 626 millones de hectáreas de bosques naturales y 120 millones de hectáreas de plantaciones forestales. Distribución regional de la superficie forestal, 2000
Región
Asia Oceanía Asia-Oceanía Mundial
Superficie (Millones de ha))
3,085 849 3,934 13,064
Área forestal total (bosques naturales & plantaciones) Sup.
% del territorio
548 198 746 3,870
18 23 19 30
% de los bosques del mundo 14 5 19 100
Fuente: FAO (2001): Evaluación de los Recursos Forestales, 2000
Bosques naturales (Millones de ha) 432 194 626 3,682
Plantaciones forestales (Millones de ha) 116 4 120 187
Superficie forestal per cápita (ha) 0.15 6.58 0.20 0.65
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Sustainable Management of Tropical Forests – Private Sector Experiences En cuanto al volumen de madera y biomasa, el promedio de la región de Asia es de 63 m3/ha y 82 t/ha y el de Oceanía es de 55 m3/ha y 64 t/ha, comparado con el promedio mundial de 100 m3/ha y 109 t/ha respectivamente. El volumen mundial total de madera y biomasa leñosa es de 386.000 millones de m3 y 422.000 millones de toneladas respectivamente.
Evolución de la cobertura boscosa Al convertirse los bosques para otros usos con un manejo inadecuado, se produjo una constante reducción de la superficie boscosa. Las iniciativas emprendidas para compensar esta reducción, rehabilitando las tierras forestales degradadas y forestando tierras baldías o improductivas, no han logrado neutralizar o contrarrestar la pérdida de bosques naturales. La tasa de cambio en un área boscosa neta de Asia y Oceanía ha mejorado considerablemente, especialmente debido a un aumento de las actividades de forestación con la participación de la población. Evolución de la cobertura boscosa de Asia y Oceanía, 1990-2000 Región Asia Oceanía Asia-Oceanía
Área boscosa total en 1990 (‘000 ha)
Área boscosa total en 2000 (‘000 ha)
Cambio anual (‘000 ha)
Tasa anual de cambio ( % )
551.448 201.271 752.719
547.793 197.623 745.416
-364 -365 -729
-0,07 -0,18 -0,10
Fuente: FAO (2001): Evaluación de los Recursos Forestales, 2000
Cabe destacar los siguientes aspectos en relación con la situación forestal reinante en la región: • • • • •
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Deficiencias/limitaciones generales de las instituciones e instrumentos institucionales, como las políticas, legislación, estructura organizativa, planes y programas, I&D, y sistemas de seguimiento y evaluación, entre otros. Incertidumbres y conflictos relacionados con la tenencia de tierras, especialmente en lo relativo a los derechos de las comunidades indígenas. La falta de estrategias para manejar la creciente extensión de bosques degradados y secundarios. Escasez crónica de fondos para las actividades forestales; dependencia de la ayuda proveniente de donantes; y falta de inversiones en el desarrollo tecnológico. Falta de información (rayano en la ignorancia) sobre temas candentes a nivel mundial, tales como el impacto del cambio climático en los bosques, el MDL, estrategias de control del carbono (secuestro, conservación y sustitución), recursos de biodiversidad y otros, en todos los niveles locales pertinentes. Crecientes brechas en el proceso de ordenación forestal sostenible y un número cada vez más limitado de opciones para resolverlas.
Situación de los países miembros productores de la OIMT en la región de Asia-Pacífico La OIMT tiene diez (10) países miembros productores en la región de Asia y el Pacífico, a saber: Camboya, Fiji, India, Indonesia, Malasia, Myanmar, Papua Nueva Guinea, Filipinas, Tailandia y Vanuatu. La situación en estos países varía considerablemente en relación con muchos aspectos del ámbito forestal, tales como: la dotación de recursos, la tenencia de los bosques, los sistemas y la capacidad de manejo, el nivel de transformación y utilización de productos forestales, el comercio de productos forestales y el marco institucional. Si bien Camboya, Indonesia, Malasia, Myanmar y Papua Nueva Guinea son productores y exportadores de madera y productos de madera tropical, la India, Filipinas y Tailandia han sufrido una pronunciada pérdida de recursos en las últimas cuatro o cinco décadas y han pasado a ser importadores netos de madera y productos madereros. Fiji y Vanuatu cuentan con un porcentaje aceptable de tierras boscosas, pero debido a sus ecosistemas insulares pequeños y frágiles, la ordenación sostenible de los recursos forestales reviste especial importancia para estos países. Si bien estas variaciones y condiciones específicas están dictadas por su historia, demografía, sistema político y situación geográfica, todos estos países tienen también una serie de características comunes relacionadas con la participación del sector privado en el manejo de los recursos forestales y las deficiencias de la administración forestal pública. En este sentido, se destacan las siguientes características: un manejo sin base científica (talas por encima de la posibilidad de corta anual, sin especificar especies ni clases de tamaño y fuera de las áreas asignadas); falta de un manejo adecuado del paisaje general; actividades ilegales; subsidios ocultos y captación inadecuada de rentas; eslabonamientos ascendentes y descendentes inadecuados; distorsión de relaciones entre la población y el bosque; incumplimiento de las obligaciones sociales; falta de atención a la naturaleza y excesiva preocupación por los beneficios monetarios; y maximización de beneficios privados a un costo indebido y evitable para la sociedad.
Sustainable Management of Tropical Forests – Private Sector Experiences Así como existe una diferencia en la superficie de los diez países (India tiene una superficie de 297,3 millones de hectáreas con una población de más de mil millones de habitantes, mientras que Vanuatu posee una superficie de 1,2 millones de hectáreas con una población de 186.000 habitantes), existe también una variación en sus densidades demográficas: a un extremo de la escala se encuentra la India con una densidad de 335,7 habitantes por kilómetro cuadrado y al otro extremo se halla PNG con sólo 10,4 habitantes por kilómetro cuadrado. India, Filipinas, Tailandia e Indonesia tienen una densidad demográfica de más de 100 habitantes por kilómetro cuadrado; los primeros tres países han diezmado drásticamente sus recursos forestales naturales, mientras que Indonesia ya está mostrando síntomas de una intensa presión sobre sus tierras forestales.
Dotación de recursos forestales Entre los países miembros productores de la OIMT en la región de Asia-Pacífico, hay seis (Camboya, Fiji, Indonesia, Malasia, Myanmar y PNG) que tienen más del 40% de su territorio bajo cobertura boscosa. En estos países la actividad forestal tiene una elevada participación en el PIB y el comercio. En PNG, Indonesia y Malasia, la actividad forestal contribuye con más del 10% del PIB. En Camboya, los productos forestales representan el 43% del comercio de mercancías, seguido por Myanmar (35%), Fiji (13%) e Indonesia (12%). Algunos países, tales como Camboya, Indonesia, Malasia, Myanmar y PNG, poseen un considerable caudal de recursos forestales y ya han desarrollado, o tienen potencial para desarrollar, industrias forestales importantes. Estos países tendrán una influencia y un papel particularmente importante en el futuro de la actividad forestal de la región. Si bien Indonesia cuenta con la mayor extensión de bosques en términos absolutos, Malasia lo supera en cuanto al estado de sus cultivos, caracterizados por un creciente volumen de existencias y cantidad de biomasa superficial. Cabe destacar que si bien el volumen de la masa en pie depende en parte del tipo de bosque y de terreno, en su mayor parte es el resultado de la calidad del manejo forestal. De los diez países miembros productores de la OIMT en la región de Asia-Pacífico, Filipinas, India y Tailandia tienen el menor porcentaje de tierras bajo cobertura boscosa (y también la menor disponibilidad de tierras forestales per cápita). Los bosques de estos países han sufrido también un nivel considerable de degradación.
Desarrollo de plantaciones forestales Algunos de los países mencionados tienen una larga historia y tradición de cultivo de plantaciones forestales (por ejemplo, India, Indonesia y Tailandia). Para algunos otros, el establecimiento de plantaciones forestales es algo muy reciente. Las plantaciones comprenden el 50,8% de los bosques de la India. El 33% de los bosques de Tailandia son plantados. Los países con una limitada cobertura boscosa tienden a tener un porcentaje mayor de plantaciones forestales. En el país con mayor porcentaje de tierras bajo cobertura boscosa, Papua Nueva Guinea, las plantaciones representan sólo el 0,3 por ciento del total de bosques del país.
Análisis de los casos y situación de los países Todos los cinco países (donde se seleccionaron los casos) parecen mostrar una secuencia similar de etapas en el ámbito forestal: baja presión demográfica, explotación forestal para financiar el desarrollo, expansión de las actividades de extracción maderera fuera de control, creciente nivel de actividades ilegales y deforestación, tendencia a debilitar las estructuras de gobierno y propensión a la corrupción, clausura (a menudo ineficaz) del bosque empobrecido para evitar su uso, y “cultivo” de árboles forestales por parte de las comunidades o los campesinos para satisfacer la demanda del mercado. En uno y otro país parece repetirse esta misma tendencia. Probablemente haya diferencias en los caminos seguidos, pero la dirección general parece ser la misma en todos los casos. La India prácticamente ha alcanzado la etapa final de la marcha y le sigue de cerca Filipinas y un poco después, Indonesia. Malasia ha tomado, con cierta vacilación, la decisión de detener la marcha o avanzar a un ritmo lento. PNG acaba de iniciar la marcha y parece creer que cuenta con un caudal inagotable de recursos que durarán para siempre. Si se considera la facilidad y rapidez con que se puede mover la madera en rollo a través de los océanos, las actividades de extracción de PNG podrían también expandirse fuera de control y el país podría rápidamente orientarse por el camino de los otros, a menos que detenga la tendencia de forma decidida. A continuación se destacan algunas semejanzas importantes registradas entre los países participantes en el “estudio de casos”: •
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Todos los cinco países han tomado conciencia de la importancia de asegurar la participación de las comunidades locales y la necesidad de ajustarse a los criterios e indicadores para la ordenación forestal sostenible. En estos países, aún no se han resuelto los derechos de las comunidades indígenas sobre los recursos forestales y ello causa conflictos, tensiones y enfrentamientos.
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En la India, se ha prohibido la extracción de madera de los bosques naturales y Filipinas impuso la misma prohibición en los bosques de antiguo crecimiento. En ambos países, las plantas madereras industriales dependen cada vez más para su materia prima de madera no proveniente de bosques o madera en rollo importada. En Java (Indonesia), algunas plantas están utilizando madera producida en fincas o propiedades privadas. Existen fronteras comunes entre Indonesia y Malasia y entre PNG e Indonesia. Se han denunciado movimientos ilegales a través de estas fronteras, principalmente de Kalimantan (Indonesia) a Sarawak (Malasia). Los principales exportadores de madera y productos de madera (Indonesia y Malasia) han llevado a cabo las gestiones necesarias para la certificación de unidades de ordenación forestal (UOF) así como para la certificación de productos, lo cual no parece ser una prioridad en los otros países.
Los casos estudiados Tal como se mencionó previamente, se seleccionaron doce casos de “experiencias exitosas del sector privado” en cinco países miembros productores de la OIMT en la región. Estos casos cubren una amplia diversidad de situaciones y actividades, tales como: concesiones forestales pertenecientes a empresas nacionales; concesiones forestales pertenecientes a empresas multinacionales; operaciones de producción forestal llevadas a cabo por la administración pública forestal en reservas forestales estatales sobre la base de contratos a corto plazo; plantación de árboles clonales por parte de grupos campesinos patrocinados y respaldados por una industria de papel y cartón; y una federación de cooperativas primarias dedicadas a la extracción y comercialización de productos forestales no maderables. El alcance de estos casos incluye: la producción de madera en rollo para exportación; la producción de madera en rollo para su transformación a nivel local; la producción de madera de mangle para la elaboración de partículas; el manejo de manglares para la producción de postes y carbón vegetal; el desarrollo de fincas de árboles clonales de alto rendimiento en tierras de propiedad privada; y la producción, transformación y comercialización de productos forestales no maderables. La mayoría de ellos (9 casos) están teniendo resultados bastante satisfactorios y los restantes (3) están disminuyendo el nivel de actividad para dedicarse a otras actividades alternativas relacionadas con el bosque. Seis de los doce casos estudiados en la región de Asia-Pacífico se expondrán y presentarán en la “Conferencia Internacional sobre la Ordenación Sostenible de Bosques Tropicales – Experiencias del Sector Privado”, que tendrá lugar en Kuala Lumpur, Malasia, del 13 al 15 de abril de 2004.
Los casos de la India Los dos casos estudiados en la India se relacionan con la participación de pobladores y comunidades en el desarrollo forestal (madera para pulpa y productos forestales no maderables).
Pequeñas fincas de árboles clonales para ITC Bhadarachalam Paperboards Ltd. Una característica notable de este caso es la iniciativa de una empresa privada fabricante de cartón y papel especial orientada a fomentar la participación de los pequeños agricultores en la producción de madera para pulpa a partir de variedades de especies genéticamente mejoradas y de alto rendimiento. Cuando la empresa estableció la fábrica de papel y cartón en Sarapaka, estado de Andhra Pradesh, se había asegurado el compromiso del gobierno de ese estado para abastecer la materia prima necesaria (bambú y maderas duras) de los bosques estatales. Debido a la constante deforestación y degradación forestal y los consiguientes cambios introducidos en la política forestal para limitar la extracción de madera de los bosques naturales, la fuente de materia prima de la cual dependía la empresa fue clausurada. A fin de salvar su inversión, la empresa tuvo que encontrar otras fuentes alternativas sostenibles de materia prima. Esta necesidad crucial la incentivó a fomentar la plantación de árboles en fincas agrícolas, utilizando plántulas clonales de alto rendimiento, principalmente de eucalipto. Estas plantaciones clonales o fincas forestales pueden manejarse sobre la base de un ciclo de corta de 3 – 4 años. Los eucaliptos clonales pueden tolerar cuatro talas de monte bajo antes del replante. La experiencia nos demuestra que el incremento medio anual (IMA) de las plantaciones clonales de eucalipto oscilan entre 20 y 58 m3 por hectárea por año; y en la primera corta, tres años después de establecerse la plantación, los agricultores pueden obtener una ganancia neta de entre Rs. 50.000 y Rs. 150.000 por hectárea, dependiendo de la calidad del sitio y los insumos para el manejo. Las ganancias aumentan en las cortas subsiguientes, ya que el costo de mantener un cultivo de monte bajo es menor. Además, dado que los árboles son cultivados dentro de un sistema agroforestal, se pueden obtener ingresos adicionales con la cosecha de los cultivos agrícolas. La unidad de investigación forestal de la empresa lleva a cabo ensayos de mejoramiento genético del material de plantación y prácticas silvícolas/agroforestales (p.ej. espaciamiento de líneas de plantación, cultivos intercalados) para su posterior adopción.
Sustainable Management of Tropical Forests – Private Sector Experiences La empresa provee plántulas clonales a los agricultores para su plantación, junto con servicios permanentes de extensión. Además, garantiza la compra de la madera para pulpa producida por los agricultores a un precio fijo mínimo que se ajusta periódicamente. Actualmente, las fincas forestales que se encuentran a una distancia económica de la planta industrial sólo pueden suministrar alrededor del 40% de la madera para pulpa requerida por la fábrica. El objetivo es que la empresa llegue a satisfacer toda su demanda de madera para pulpa con la producción de las fincas de árboles clonales de los distritos seleccionados del estado de Andhra Pradesh. Algunos aspectos importantes de este caso que determinan su éxito son: la movilización voluntaria de inversiones para el desarrollo de fincas forestales; las actividades de investigación, desarrollo tecnológico y extensión llevadas a cabo por la empresa; la mayor productividad de las plantaciones clonales; la generación de empleo y mayores ingresos para la población local; la reducción de la presión ejercida sobre el bosque natural para la obtención de materia prima; y la colaboración mutuamente beneficiosa entre la empresa y los agricultores.
M.P State MFP (Trade and Development) Co-operative Federation Ltd. La Madhya Pradesh State Minor Forest Produce (Trade and Development) Co-operative Federation Ltd. [Federación Cooperativa (de Comercio y Desarrollo) de Productos Forestales Menores del Estado de Madhya Pradesh], una entidad privada, se dedica al desarrollo de productos forestales no maderables, principalmente de los bosques tropicales caducifolios del estado de Madhya Pradesh de la India, con la participación de un gran número de cooperativas de productores primarios en el manejo, aprovechamiento y comercio de recursos. El propósito principal de MP-MFP-CFL, creada en 1984 con el fin de salvar a los recolectores de productos forestales menores (PFM) de las garras de los intermediarios, es facultar a la comunidad para permitirle manejar sus propios asuntos a través de acuerdos institucionales apropiados y garantizar el manejo sostenible y la protección de los recursos. Basada en una estructura piramidal, la cooperativa MP-MFP-CFL comprende 1.947 sociedades primarias (con un total de cinco millones de miembros recolectores de PFMs) agrupados en 58 uniones cooperativas de distrito y un organismo central nacional. Los estatutos de constitución de la Cooperativa definen los derechos y privilegios de los miembros de las sociedades primarias, sus responsabilidades en relación con el manejo de recursos y la entrega de productos en los centros colectores, el pago de salarios y la distribución equitativa de beneficios, y las funciones y mandatos de los órganos de más alto nivel en la jerarquía de la institución. La participación de las sociedades primarias en el funcionamiento de MP-MFP-CFL se garantiza a través de su adecuada representación en los órganos superiores. El producto y fuente de ingresos principal de las sociedades primarias es la hoja de Diospyros melanoxylon utilizada como envoltorio para fabricar “beedies”, el cigarrillo indígena. Los árboles de Dispyros melanoxylon crecen abundantemente en los bosques secos caducifolios de Madhya Pradesh y otros estados vecinos. Los miembros de las sociedades primarias cortan las hojas de los árboles de Tendu (Dispyros melanoxylon) (en el área asignada) durante la temporada de cosecha, las secan debidamente, las colocan en fardos de 50 hojas y las entregan a los centros colectores. Allí se les paga de inmediato de acuerdo con las tarifas estándar establecidas. Asimismo, los miembros de las sociedades primarias deben encargarse del cuidado de los árboles de Tendu y de asegurar su protección. Las hojas de beedi recolectadas se venden periódicamente en subastas y las ganancias se vuelven a canalizar para mejorar el bienestar y desarrollo (infraestructura, salud, educación, tecnología, etc.) de la comunidad a la que pertenecen los miembros de las sociedades. Además de las hojas de beedi, algunas sociedades se dedican también a producir otros productos forestales no maderables tales como semillas de Sal, gomas, harra (Terminalia chebula), plantas medicinales, etc. Sin embargo, estos productos forestales sólo representan alrededor del 10% del total. La creación de la cooperativa MP-MFP-CFL ha ayudado enormemente a mejorar el bienestar de la comunidad en cuestión mediante mayores fuentes de empleo e ingresos, cobertura de seguros, comodidades sociales, etc. Las características más notables de este caso que permiten considerarlo una experiencia exitosa de OFS son las siguientes: i.
Organización de productores primarios de productos forestales no maderables con una sólida estructura cooperativa federada. ii. Racionalización de la comercialización de productos forestales no maderables para asegurar precios remuneradores. iii. Distribución equitativa de beneficios para los miembros de las cooperativas primarias. iv. Ordenación y producción sostenible de productos forestales no maderables. v. Prestación de servicios de extensión y apoyo tecnológico dentro del sistema cooperativo.
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Los casos de Indonesia Los cuatro casos estudiados en Indonesia son de concesiones madereras. Si bien las cuatro concesiones basaban sus operaciones en nobles intenciones de desarrollo forestal sostenible, sólo dos lograron mantenerse al margen del caos causado por el proceso de reforma y descentralización, mientras que las otras dos fueron víctimas de esa situación caótica.
PT. Suka Jaya Makmur PT. Suka Jaya Makmur es una concesión forestal privada situada en la provincia indonesia de Kalimantan Occidental, cuya operación se ubica totalmente en áreas de bosque húmedo tropical (con algunos cultivos migratorios marginales). La madera en rollo extraída se utiliza para producir chapas, tableros laminados, tableros enlistonados, molduras y láminas para alma de contrachapados en la planta transformadora de la empresa situada en Ketapang. La concesión, con una extensión de 171.340 ha, está manejada a través del sistema TPTI, que comprende cortas selectivas y plantaciones de enriquecimiento en los huecos/vacíos forestales. El rendimiento se regula sobre la base de la posibilidad de corta anual (PCA) y el área de corta anual (ACA). Dos documentos de planificación a largo y mediano plazo (plan prospectivo a 20 años y plan quinquenal de ordenación forestal) constituyen las bases para preparar y ejecutar los planes operativos anuales. Las actividades preparatorias previas al aprovechamiento y las operaciones de extracción (que incluyen la construcción de caminos, trochas, puentes/pasos de agua; control de la tala; cubicación; transporte; etc.), así como las prácticas silvícolas posteriores al aprovechamiento, se llevan a cabo de acuerdo con las reglamentaciones estipuladas. Se pone especial cuidado para reducir los daños causados por la extracción y proteger el bosque de los agentes nocivos. La empresa realiza regularmente actividades de asistencia social para las comunidades residentes en el área de la concesión y zonas aledañas, además de ofrecerles empleo en la medida de lo posible. Asimismo, invierte en actividades de I&D y en la conservación del medio ambiente. Los aspectos del manejo de esta concesión que permiten clasificarla como una experiencia exitosa en materia de ordenación forestal sostenible son los siguientes: • • • • • • • • •
Alto nivel de planificación y ejecución de planes. Cumplimiento estricto de normas y reglamentaciones relacionadas con el manejo de la concesión. Nivel de rendimiento regulado según la posibilidad de corta anual. Genuino interés por el bienestar de las comunidades locales. Aplicación de medidas de conservación ambiental. Protección efectiva del bosque. Desarrollo tecnológico constante a través de trabajos de investigación. Buena relación con la población local y las autoridades gubernamentales locales. Excelente desempeño reconocido en sucesivas evaluaciones.
PT. Inhutani II (Malinau) PT Inhutani II es una empresa forestal estatal y su área de operaciones en Malinau está experimentando nuevos problemas jurídicos y sociales debido a la descentralización de las estructuras de gobierno y a que la comunidad local ha reclamado derechos “adat” sobre los recursos naturales. PT Inhutani II inició sus operaciones en Malinau en 1991, sobre la base de un acuerdo de concesión a 20 años (con vencimiento en el año 2011). La empresa ha realizado todos los esfuerzos posibles para convertir la concesión en una operación modelo. Por consiguiente, ha planificado y conducido todas sus actividades con sumo cuidado, siguiendo estrictamente las normas, reglamentos y condiciones del acuerdo. En colaboración con el CIFOR y la OIMT, la empresa viene aplicando técnicas de extracción de impacto reducido. Todos los aspectos de las operaciones de extracción, como la preparación de planes, la división de lotes, la construcción de caminos y/o trochas, las operaciones previas a la corta, el establecimiento y control de estructuras, la cubicación, el arrastre, el transporte, etc., se llevan a cabo conforme a las normas y especificaciones estipuladas. La empresa continúa también cumpliendo con sus obligaciones sociales y ambientales, y se estaba preparando para ampliar sus operaciones de la producción de madera en rollo a la producción de madera aserrada mediante el establecimiento de un aserradero local. Fue precisamente en aquel momento (julio de 2002) que los planes de la empresa se vieron afectados por algunos percances inesperados. En primer lugar, el gobierno local (Bupati) otorgó concesiones paralelas (en parte del área de concesión de PT Inhutani II) para la extracción de madera y el uso de tierras, sin tener en cuenta los derechos legales de la empresa PT Inhutani II. En segundo lugar, una comunidad local reclamó derechos “adat” sobre una parte
Sustainable Management of Tropical Forests – Private Sector Experiences del área de concesión de PT Inhutani II y exigió compensación a la empresa por las operaciones conducidas en las tierras de la comunidad. Todos estos hechos parecen ser parte de la estrategia del gobierno local para reafirmar su derecho sobre los recursos territoriales en su jurisdicción, y en otras partes del país parecen haberse desarrollado otras situaciones similares. Este caso es un ejemplo de que pese a la validez legal de la concesión y pese a las buenas intenciones y acciones de la empresa encargada del manejo sostenible del bosque, se puede perjudicar gravemente a dicha empresa por las intrigas políticas de lucha por el poder a nivel central y local, especialmente en una situación de gobernabilidad deficiente y falta de respeto por las normas jurídicas.
PT. Sari Bumi Kusuma PT. Sari Bumi Kusuma es una concesión privada, situada en una zona bastante remota (a alrededor de 460 km de Pontianak) en la provincia indonesia de Kalimantan Central, que comprende esencialmente áreas de bosque húmedo tropical. La madera en rollo producida se transforma en madera aserrada, molduras y contrachapados comerciales. La empresa reviste un carácter único por haberse comprometido a apoyar el desarrollo de la comunidad local. PT. Sari Bumi Kusuma ha recibido altas calificaciones en todas las evaluaciones pasadas de su desempeño. La empresa cumple estrictamente con la condiciones estipuladas para la ordenación forestal sostenible y con todas las normas, reglamentos y acuerdos establecidos en tal respecto, y planifica sus operaciones de forma meticulosa, ajustándose fielmente a lo estipulado en sus planes. PT. SBK aplica un sistema de corta selectiva y plantaciones en fajas (TPTJ), que permite el aumento progresivo de la productividad del bosque en cuestión. Las fajas se establecen con un espaciamiento de 25 metros y a lo largo de las mismas se plantan plántulas de especies valiosas (tales como Shorea leprosula, otras especies de Shorea y Dipterocarpus spp) producidas en viveros, con espaciamientos de tres metros. Los resultados de la investigación señalan que los árboles plantados en las fajas alcanzarán diámetros de 66 cm en 35 años, cuando se podrá efectuar la tala rasa de las plantaciones. Los árboles comerciales maduros (de un tamaño límite prescrito de 45 cm de diámetro) intercalados entre las fajas también pueden aprovecharse según las normas especificadas. Se prevé que existe potencial para aumentar la producción de madera en rollo a 300 m3 (comparado con el rendimiento actual de alrededor de 50 m3). La empresa actualmente se encuentra en un proceso de transición del sistema TPTI al sistema TPTJ. La primera plantación en fajas del área de concesión se estableció en 1998. Previo a la extracción, se marcan y miden todos los árboles aprovechables para calcular el rendimiento. Los árboles núcleo, que servirán de árboles semilleros para la regeneración futura, también se marcan para evitar que se los dañe durante la tala. Las operaciones de extracción se controlan por compartimientos, de modo que las operaciones de los nuevos compartimientos se inician una vez que se ha finalizado oficialmente el trabajo en los anteriores. Las operaciones de extracción están totalmente mecanizadas; se insiste en utilizar técnicas de tala dirigida para evitar o reducir los daños. Las trozas son medidas por cubicadores calificados. Todas las trozas producidas son procesadas en los aserraderos de la empresa en Pontianak. La empresa tiene una larga tradición de apoyo a las comunidades locales para mejorar sus medios de sustento y sus condiciones de vida, y cumple con sus obligaciones sociales invirtiendo en programas de bienestar y desarrollo social (con planes de educación, salud, infraestructura rural, desarrollo comunitario y agrícola, etc.). Asimismo, la empresa lleva a cabo actividades de investigación y conservación ambiental y colabora con universidades y organizaciones nacionales de investigación. Los criterios que permiten clasificar a PT SBK como una empresa exitosa en materia de ordenación forestal sostenible son los siguientes: • • • • • • • •
Mayor productividad a través de mejor tecnología, Excelente estado fitosanitario del bosque y de la masa en pie, Buen sistema funcional de planificación del manejo forestal (inclusive planes de aprovechamiento) y ejecución de planes, Nivel reducido de desechos de extracción forestal, Relación amistosa con la comunidad local, Énfasis en los programas de bienestar comunitario, Compromiso con la investigación y el desarrollo y con la conservación del medio ambiente, Cumplimiento estricto de normas y reglamentos relacionados con la gestión de la concesión forestal.
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Sustainable Management of Tropical Forests – Private Sector Experiences Si bien PT. SBK espera obtener la “certificación” para favorecer sus relaciones públicas, la empresa tiene dudas sobre los beneficios reales que podrá derivar del proceso en un contexto de inactividad frente al nivel galopante de extracción ilegal. Dado que las trozas extraídas ilegalmente se están “legalizando” de diversas formas ingeniosas, lo que se necesita principalmente es un sistema de “etiquetado de legalidad”. Asimismo, es preciso racionalizar y simplificar aún más los principios y procedimientos relacionados con la certificación de UOFs.
PT. Bina Lestari 1 (Riau) PT Bina Lestari 1 (Riau) es una concesión privada de manejo de manglares, situada en la provincia indonesia de Riau. El manejo se basa en un sistema selectivo para producir partículas de madera de mangle. La empresa ha establecido también plantaciones de mangle para complementar los recursos naturales. Se trata también de un caso en que, recientemente, se produjo una superposición de derechos con un permiso de extracción maderera otorgado por el gobierno local (Kabupaten) y las dificultades relacionadas con el proceso de descentralización han llevado al cierre de las operaciones de la empresa. PT Bina Lestari I (Riau), una empresa iniciada por profesionales forestales, ha administrado la concesión de manglar durante mucho tiempo con un sólido sistema silvícola y siguiendo todas las condiciones estipuladas en el acuerdo de la concesión. Se elaboraron planes de manejo en su debido momento y se los aplicó correctamente. Si bien se sigue un sistema de corta selectiva (con un tamaño límite de diámetro de corta de 10 ó más cm), la regeneración natural se reforzó con plantaciones artificiales (de enriquecimiento) según fuese necesario. Dado que los manglares son un ecosistema frágil, se tuvo sumo cuidado para asegurar su protección. La empresa estableció parcelas de investigación dentro de la concesión con la ayuda /colaboración de JICA y LIPI, para estudiar la ecología del manglar y mejorar su manejo. PT. Bina Lestari 1 (Riau) respetó las necesidades y derechos de la comunidad local para la producción de leña, permitiéndoles acceso a las ramas y copas de los árboles talados, e invirtió generosamente en programas de asistencia social para beneficio de la comunidad local. Con la madera de mangle extraída del área de concesión se abastecía una fábrica de partículas de madera de las proximidades, la cual a su vez exportaba las partículas a Corea y Japón. El período de concesión otorgado a PT. Bina Lestari 1 (Riau) se venció en 1998. La empresa había solicitado la renovación del contrato con suficiente antelación, en 1996. El Ministerio de Bosques también había concedido dos prórrogas de corta duración hasta fines de marzo de 2001. Además, la empresa ya había pagado el derecho de licencia para todo el período de renovación de 20 años. A pesar de ello, el Ministerio demoró la expedición de la orden definitiva de extensión, supuestamente para organizar una evaluación independiente del desempeño pasado de la concesión, antes de tomar una decisión definitiva. En el interín, el gobierno local (Bupati), haciendo caso omiso de la solicitud pendiente de PT. Bina Lestari 1, otorgó una concesión a otra empresa en la misma área, cuyos datos completos no se pudieron obtener. Debido a todos estos problemas, PT Bina Lestari 1 actualmente está clausurando para siempre sus operaciones en Riau. La empresa había invertido para establecer una planta transformadora (para la fabricación de molduras, muebles modulares, marcos de fotos/portarretratos, etc.) en Java central, utilizando madera (de las especies Spathodia companulata, Erythrina y Acacia mangium) producida en fincas y propiedades privadas. El caso es interesante porque PT. Bina Lestari 1 (Riau) manejó la concesión de forma racional y sostenible mientras pudo. La empresa tenía la intención de continuar con el manejo sostenible de la concesión, como lo demuestra el pago del derecho de licencia según lo requerido.
Los casos de Malasia Los dos casos estudiados en Malasia tienen antecedentes y características muy diferentes: uno es una UOF nueva y el otro ha estado bajo manejo sostenido durante mucho tiempo; uno es un bosque de dipterocarpáceas en el estado de Sarawak y el otro es un manglar en el estado de Perak en Malasia Peninsular; en uno se extrae madera para la producción de trozas para aserrío y chapas y en el otro se producen postes y leña de mangle; en uno de ellos se sigue un sistema de manejo selectivo, mientras que el otro utiliza un sistema de tala rasa con regeneración natural complementada con plantaciones. Los dos casos demuestran que los ingredientes cruciales para asegurar un manejo eficaz y sostenible de los recursos forestales tanto por el sector privado como por el sector público son, entre otros, políticas racionales y su efectiva aplicación, respaldadas por una buena planificación, suficiente financiación y sólidas estructuras de gobierno.
Samling Plywood (Baramas) Sdn Bhd. La UOF Selaan-Selongo de Samling Plywood (Baramas) Sdn Bhd es una concesión privada situada en la región del alto Baram en Sarawak, Malasia, que se dedica a la producción de contrachapados. El área de concesión está situada en un bosque húmedo tropical, con cultivos migratorios en alrededor del 15% del territorio.
Sustainable Management of Tropical Forests – Private Sector Experiences La cobertura boscosa sólo abarca 169.440 ha del total de 204.150 hectáreas. Esta concesión comprende principalmente bosques de antiguo crecimiento. El área de corta anual es de alrededor de 8.430 ha, excluyendo las zonas requeridas para fines de protección y uso comunitario, con una PCA de alrededor de 100.000 m3. Si bien parte de la madera producida es industrializada a nivel local (principalmente para producir contrachapados) en la planta procesadora de la empresa situada cerca de Miri, el resto se exporta como madera en rollo. El manejo forestal de la empresa se basa en un sistema selectivo y sus operaciones de extracción están totalmente mecanizadas. La UOF de Selaan-Selongo es sólo una de varias operaciones de este tipo controladas por el Grupo Samling. Sólo recientemente (en 1998) la empresa Samling Plywood (Baramas) Sdn Bhd emprendió seriamente el proceso de ordenación forestal sostenible en la UOF. En el plan de manejo forestal de 10 años establecido para la UOF se detallan todas las actividades que se deben emprender por etapas (actividades previas a la extracción, actividades de extracción y actividades posteriores a la extracción) con el fin de lograr los objetivos de la ordenación forestal sostenible. Los problemas experimentados por la empresa se relacionan con el terreno del área de la concesión y su lejanía, lo cual requiere inversiones en infraestructura. La comunidad indígena del bosque practica el cultivo migratorio en el área reservada para su uso y no participa en ninguna actividad ilegal. Si bien la empresa es nueva y aún no cuenta con suficiente experiencia, tiene potencial para convertirse en un modelo de ordenación forestal sostenible.
Manglares de Matang Las operaciones del Departamento Forestal del Estado de Perak (Malasia) en los manglares de Matang, con una extensión de 40.151 ha, constituyen una actividad integrada para producir sosteniblemente productos forestales maderables y no maderables. El principal producto es el carbón vegetal y el sistema silvícola adoptado es la tala rasa seguida de regeneración natural complementada con plantaciones según sea necesario. El área productiva cubre 32.746 ha del total de 40.151 ha. El objetivo principal del manejo de los manglares de Matang es la propagación permanente y posterior producción de árboles de alta calidad de Rhizophora spp, especialmente para la producción sostenible de leña y postes, garantizando a la vez la conservación y protección del medio ambiente. La utilización sostenible de los manglares de Matang ha sido una operación rentable. Los promedios más recientes indican que los ingresos recaudados sólo con la extracción de madera, basados en derechos sobre la tierra y regalías sobre la madera extraída, han sido de RM 1.561.086 por año. En comparación, los gastos de administración, desarrollo forestal, operaciones forestales, y actividades de conservación y protección para la totalidad de los manglares de Matang ascienden a RM 926.550 por año. Por lo tanto, los ingresos netos medios obtenidos han sido de RM 634.536 al año. El valor económico tangible directo de la extracción anual de productos se estima en RM 155.474.507 según se indica a continuación: Producción de madera de mangle Acuicultura y pesca Total
: : :
RM 25.350.122 RM 130.124.385 RM 155.474.507
No se han obtenido estimaciones de los valores intangibles (externos) como la conservación del medio ambiente, la protección de zonas costeras, etc. Los manglares de Matang han estado bajo un sistema de ordenación sostenible para la producción de leña y postes durante un período de cerca de cien años. Teniendo en cuenta la naturaleza frágil del ecosistema (que ya ha desaparecido en varias partes del mundo debido a su uso indebido para la cría de camarones y a la extracción ilegal), los logros alcanzados en el manejo de los manglares de Matang son dignos de emulación. Este éxito se puede atribuir a la alta calidad de las actividades de planificación, ejecución, supervisión y control.
Los casos de Papua Nueva Guinea Los tres casos estudiados en Papua Nueva Guinea son operaciones de extracción en gran escala orientadas a la exportación. Los tres casos son iniciativas de empresas multinacionales con inversiones extranjeras directas. Las tres empresas siguen estrictamente las normas, reglamentaciones y condiciones relacionadas con la ejecución de acuerdos de manejo forestal (AMF) y satisfacen los criterios normales de OFS. Pese a ello, varios examinadores han observado que las condiciones socioeconómicas de la comunidad con derechos tradicionales sobre la tierra no han mejorado lo suficiente. Los analistas presentan diversos argumentos para explicar esta situación: es el resultado de conflictos y rivalidades entre tribus; el sistema de repartición de beneficios y la cultura tradicional se hallan bajo la presión de la
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Sustainable Management of Tropical Forests – Private Sector Experiences economía monetaria, dando lugar a los denominados “cultos de carga” (“cargo cults”); las comunidades tribales carecen de la disciplina básica requerida para la producción orientada al mercado y de la sofisticación tecnológica asociada con la misma; la avaricia y la corrupción de los líderes de la comunidad es un factor negativo; la solidaridad tribal/comunal es un mito; y la propiedad tradicional de la tierra no fomenta un desarrollo intensivo, entre otros factores. Los estudios/análisis disponibles sugieren que existen brechas entre las políticas y el interés público y entre las políticas y la práctica. En este contexto, se observan dos deficiencias básicas: una falta de educación adecuada y capacidad de recursos humanos entre las comunidades propietarias de la tierra; una falta de definición y descripción clara de los derechos/tenencia concernientes a los recursos naturales, inclusive la planificación del uso de tierras, levantamientos topográficos e información catastral. La lección que se puede derivar de lo antedicho es que a menos que se aborden adecuadamente los aspectos básicos con una perspectiva a largo plazo, no será posible orientar y dirigir el proceso de desarrollo por un camino sostenible.
Vanimo Forest Products Ltd Como se mencionó anteriormente, el bosque cubierto por la concesión de Vanimo Forest Products Ltd. en la provincia de Sandaun, en Papua Nueva Guinea, pertenece a las comunidades tribales que tienen derechos tradicionales sobre el mismo. Parte de la madera en troza producida en base a un sistema de corta selectiva se transforma en madera aserrada en el aserradero de la empresa. Las trozas no procesadas y la madera aserrada se exportan. La empresa sigue un sofisticado sistema de manejo forestal y planificación del aprovechamiento, de conformidad con las disposiciones del acuerdo de manejo forestal (AMF) y las normas y reglamentos pertinentes del gobierno. El rendimiento se regula en base a una combinación de superficie y volumen especificados en la posibilidad de corta anual (PCA). Si bien no se determina la extensión de las actividades de la concesión en el área del AMF, al concesionario sólo se le permite talar los árboles maduros de especies comerciales y debe dejar una masa residual sana para el futuro. Salvo los caminos principales, que mejoran la infraestructura rural y benefician a las comunidades, todas las obras provisorias, como trochas de arrastre y áreas de acopio de trozas, deben levantarse después de las operaciones de modo que el bosque pueda volver rápidamente a su estado natural. En las operaciones de extracción y aserrío, la empresa emplea la mayor cantidad posible de miembros de la comunidad local (si bien éstos a menudo carecen de la disciplina requerida para trabajar en condiciones extenuantes). Además, la empresa invierte en el desarrollo de infraestructura social como escuelas, albergues, lugares de esparcimiento, centros de salud, suministro de agua, sistemas de comunicaciones, etcétera, así como también en el desarrollo territorial y agrícola. Por otra parte, la empresa trata de satisfacer, en la medida de lo posible, los reclamos (y reivindicaciones) de la comunidad, aun fuera de las condiciones acordadas, en un esfuerzo por mantener relaciones amistosas. Además, VFP es la principal fuente de ingresos del gobierno de la provincia de Sandaun. Entre los aspectos que hacen que VFP se considere una experiencia exitosa de OFS, se destacan los siguientes: • • • • • • • •
Prácticas de extracción totalmente compatibles con los niveles de intensidad aprobados de modo que el bosque residual queda sano y en estado sostenible, Cumplimiento estricto de las condiciones del AMF y otras normas y reglamentos afines, Capacidad para abordar las limitaciones relacionadas con la ejecución de sofisticadas operaciones de extracción en un bosque de propiedad ancestral de una zona remota, Flexibilidad para ajustarse a los reclamos extra-jurídicos de la comunidad, Prestación de apoyo para la formación de capital social y desarrollo de recursos humanos (DRH), beneficiando a la comunidad local, Importante fuente de ingresos para el gobierno, Generación de empleo e ingresos a nivel local, Respeto por la cultura y las sensibilidades de la comunidad local.
Lotes TRP* consolidados de Wawoi Guavi - Lotes 1 - 3 Una característica de la empresa maderera Wawoi Guavi Timber Company (del Grupo RH) es la integración de las operaciones de extracción con la transformación de madera para producir madera aserrada y chapas en zonas remotas (Panakawa y Kamusie), a unos 200 km de la costa (punto de carga de barcos) a lo largo de los ríos Bamu, Wawoi y Guavi, para lo cual se requieren considerables inversiones en infraestructura. Los bosques se manejan y aprovechan según las normas estipuladas, incluyendo operaciones previas al aprovechamiento, durante la extracción y posteriores al aprovechamiento, y dejando el bosque residual en un estado sano con el menor grado de alteración posible. Debido a la escasa densidad demográfica, la ubicación remota y la ausencia de demanda de productos maderables y no maderables en el mercado local, el área del AMF de Wawoi Guavi
Sustainable Management of Tropical Forests – Private Sector Experiences está protegida de las influencias antropógenas y las actividades ilegales. Prácticamente no se ven síntomas de degradación ambiental en la zona. El sistema de contabilidad y seguimiento de trozas rastrea los movimientos de la madera en troza desde el lugar de corta hasta el aserradero, o hasta el punto de carga en el caso de las exportaciones. Las operaciones madereras de la empresa han ayudado a iniciar un proceso de desarrollo en una región remota del país mediante el desarrollo de recursos humanos e infraestructura. Además de las oportunidades de empleo y los ingresos recibidos, las comunidades propietarias de la tierra se benefician también con los programas de desarrollo y asistencia social ejecutados por la empresa. El principal medio de comunicación y contacto con el mundo exterior para las comunidades de la región es el servicio aéreo que opera una filial de la empresa. El valor total de la contribución socioeconómica de la empresa al Gobierno de Papua Nueva Guinea y a la población local asciende a alrededor de 23,09 millones de kinas por año. El 17,1% de este total se utiliza directamente para beneficio de los grupos propietarios de tierras. El sistema de tenencia tradicional, los conflictos intertribales, los tabúes culturales, las deficiencias infraestructurales, etc. son todos poderosos factores que obstaculizan el desarrollo socioeconómico de las comunidades locales. Sin embargo, la empresa ha podido manejar la situación sin causar demasiados trastornos. Los aspectos que hacen que la empresa maderera de Wawoi Guavi se clasifique como un caso exitoso de OFS son los siguientes: • • • • • • •
Prácticas de extracción ecológicamente racionales y no destructoras seguidas de operaciones adecuadas posteriores a la extracción, Operaciones integradas de extracción y transformación de madera establecidas en una zona remota, Inicio y apoyo de un proceso de desarrollo económico en la región de Wawoi Guavi mediante la creación de infraestructura, Apoyo al bienestar social de la población local, Aumento de la capacidad tecnológica y desarrollo de recursos humanos a nivel local, Fuente de ingresos para los gobiernos provincial y nacional, Capacidad para mantener relaciones amistosas con la población local.
Turama Extension FMA 1 & 2 La empresa Turama Extension FMA* 1 & 2 (Sociedad del Grupo Prime) en la provincia del Golfo de PNG se dedica a la producción de madera en troza para exportación en una zona con una presión demográfica insignificante. La situación y las operaciones de Turama Extension FMA 1 & 2 son similares a las de Wawoi Guavi, y se encuentran cerca una de otra. Sin embargo, Turama Extension no es una operación integrada y exporta toda la madera en rollo que produce. Dado que las zonas forestales se dejan en su estado silvestre sin ninguna interferencia después de la corta selectiva, vuelven a su estado original en un corto período de tiempo. La ordenación sostenible de un bosque en una zona escasamente poblada y situada en un lugar remoto normalmente se logra con sólo seguir el código de prácticas de aprovechamiento en las operaciones madereras. La empresa también ha cumplido de forma totalmente satisfactoria con los otros aspectos de la ordenación forestal sostenible (sociales, económicos, ambientales e institucionales), inclusive la potenciación de la comunidad y el desarrollo de capacidad local según lo estipulado en el acuerdo de manejo forestal. Por lo tanto, al igual que en los otros dos casos de Papua Nueva Guinea, las operaciones de Turama Extension FMA 1 & 2 pueden considerarse una experiencia exitosa de ordenación forestal sostenible.
El caso de Filipinas Las concesiones madereras de Filipinas se están eliminando gradualmente. El caso escogido para este estudio en ese país ayuda a ilustrar que en medio de una ola de explotación forestal descontrolada es difícil establecer la OFS sobre una base estable.
Pacific Timber Export Corporation (PATECO) La empresa Pacific Timber Export Corporation (PATECO) opera con una licencia maderera en un área de alrededor de 34.000 hectáreas de bosque tropical, situada en Dinapigue (Isabela) y en Dilasag (Aurora) a lo largo de la costa nororiental de Luzon. La empresa ha manejado el bosque de la concesión mediante un sistema selectivo, extrayendo una parte de los árboles maduros y sobremaduros, definidos según su DAP, en un ciclo de 30 años. Todas las operaciones silvícolas, tales como el inventario previo a la corta, el cálculo de la posibilidad de corta anual, el marcado de árboles por extraer (y los que se deben retener como árboles padres), el levantamiento de la regeneración forestal
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Sustainable Management of Tropical Forests – Private Sector Experiences posterior a la corta, el mejoramiento de la masa maderable en pie, plantaciones de enriquecimiento y medidas de protección, se realizan según lo estipulado en los planes de trabajo aprobados. Asimismo, la empresa ha establecido 120 ha de plantaciones en zonas aptas para ese fin. El tamaño y los límites de la concesión fueron ajustados varias veces debido a cambios en el uso de tierras. Desde el punto de vista de la ordenación, el área de concesión se categorizó en: (a) bosque de protección, y (b) bosque de producción. El bosque de protección está compuesto por bosque de antiguo crecimiento, bosque musgoso, márgenes de ríos, zonas de amortiguamiento, áreas de pendientes del 50% o mayores, y áreas rocosas y silvestres. Los bosques de protección se reservan estrictamente para fines de conservación. El bosque de producción incluye bosques residuales naturales y plantaciones forestales. Los bosques de producción se dividen en lotes de manejo en base a los años transcurridos después de la explotación (ADE) para la extracción sostenible de madera y tratamientos silvícolas según las normas de producción maderera prescritas en los planes de desarrollo establecidos. Conforme a la disposición DAO* 24 de 1991, la empresa lleva a cabo operaciones de extracción únicamente en bosques de segundo crecimiento donde hayan transcurrido un mínimo de 26 años después de la explotación. La producción anual de madera en troza actualmente es cercana a los 20.000 m3. Las trozas se transforman en madera aserrada, contrachapados, puertas y productos de carpintería de construcción, entre otros. La empresa ha respetado las normas ambientales y asegurado un nivel mínimo aceptable en todas sus operaciones. La caza está prohibida en el área de concesión, excepto en casos muy especiales, tales como la recolección de especímenes silvestres para su estudio e investigación. A las comunidades indígenas cuya fuente de alimento se basa exclusivamente en la recolección se les permite cazar con fines de subsistencia y para ofrendas espirituales tradicionales. El período de licencia de PATECO se vence en el año 2006 y la continuación de las operaciones después de esa fecha es incierta (o improbable). En vista de ello, la empresa no ha tomado ninguna medida para gestionar la certificación de la concesión. La empresa tiene proyectado establecer plantaciones maderables industriales en gran escala para abastecer sus plantas transformadoras industriales. PATECO se considera una experiencia exitosa porque ha logrado superar todas las dificultades relacionadas con los cambios políticos y normativos, las actividades ilegales en las zonas aledañas y la amenaza de grupos insurgentes, sin flaquear en su compromiso con la OFS. En sucesivas evaluaciones se ha revelado un desempeño satisfactorio de la empresa. Constituye una de las seis concesiones forestales que han logrado “sobrevivir” con éxito hasta el final y probablemente sea la única empresa con un plan de manejo forestal aprobado para su ejecución hasta finalizar el período de la concesión. Este caso demuestra cómo las empresas privadas dedicadas al manejo y la utilización de bosques se ven afectadas por problemas que están fuera de su control, tales como cambios frecuentes de políticas o políticas inadecuadas, estructuras de gobierno deficientes, reglamentos incoherentes, e inestabilidad en el clima de inversiones.
Los problemas Las experiencias descritas pueden, en cierta medida, ayudarnos a encontrar soluciones razonables para los problemas que se describen a continuación clasificados en siete grupos: problemas de gobernabilidad; problemas técnicocientíficos; problemas relacionados con el comercio; problemas institucionales; problemas ambientales; problemas socioeconómicos; y problemas globales. Los problemas de gobernabilidad incluyen: falta de compromiso político con la causa de la OFS; falta de información sobre los recursos; presencia de actividades ilegales de extracción y contrabando; deficiencias en las estructuras de gobierno determinadas por la ausencia de un nivel adecuado de responsabilidad, transparencia y participación de las partes interesadas; y contradicción en la promoción de técnicas de EIR y certificación sin ejercer un control de las actividades ilegales y la corrupción. Los problemas relacionados con la ciencia y la tecnología con frecuencia son exacerbados por deficiencias institucionales. Estos problemas incluyen: insuficiencia de fondos, infraestructura y recursos humanos para las actividades de investigación y desarrollo; insuficiente difusión de paquetes tecnológicos; y profesionales más concentrados en los aspectos conceptuales y en “reinventar la rueda” que en abordar los problemas prácticos. Los problemas relacionados con el comercio tienen un impacto directo e indirecto en el desarrollo (sostenible), y en este contexto es preciso examinar la certificación y otros aspectos afines. Los problemas institucionales incluyen una capacidad insuficiente de planificación; deficiencias en las políticas e instrumentos legales; deficiencia de los organismos encargados de hacer cumplir las leyes; corrupción en la administración pública; y brechas y fallas en las normas y reglamentos.
Sustainable Management of Tropical Forests – Private Sector Experiences Los problemas ambientales se relacionan con decisiones sobre el uso racional vs. la no utilización de recursos, la degradación ambiental causada por acciones deliberadas, la viabilidad comercial de los PFNM, el papel del movimiento ambientalista, etc. Los problemas socioeconómicos adquieren gravedad debido a la falta de participación de los interesados y un nivel insuficiente de preocupación y compromiso por parte de los dirigentes. En este contexto, se destaca la necesidad de llevar a cabo investigación sobre políticas y comportamientos; evaluaciones de los impactos socioeconómicos; el papel creativo que puede cumplir el descontento; y el equilibrio entre las inquietudes ecológicas y económicas. Los problemas globales, en general, tienen importancia y connotaciones en el plano institucional. La sustentabilidad a largo plazo dependerá del desarrollo de ventajas competitivas mediante una mayor eficiencia y no de la búsqueda de beneficios derivados de las ventajas competitivas que ofrece la naturaleza.
Resultados y conclusiones La actividad forestal sostenible es un ideal al que debemos apuntar y su principal limitación no es la falta de tecnología sino los factores institucionales que atentan contra la aplicación de las mejores tecnologías disponibles. Estos factores institucionales aparecen en forma de percepciones coyunturales y preferencias temporales de los inversionistas, o se reflejan en una falta de preocupación de parte de los dirigentes y administradores por adoptar y seguir un sistema apropiado de ordenación forestal. Todo sistema de ordenación forestal comprende un conjunto de normas y técnicas diseñadas para mantener las zonas boscosas en el estado deseado, y ello incluye también los procesos mediante los cuales las normas y técnicas se adaptan a las circunstancias cambiantes. Como mínimo, las actividades de ordenación y manejo deben incluir la demarcación de límites, el establecimiento de niveles de rendimiento para la extracción de productos forestales y su control; y la distribución equitativa de los costos y beneficios derivados del recurso. Un sistema de ordenación forestal de este tipo se considera sostenible cuando es capaz de adaptarse a los cambios a pesar de las presiones ejercidas y de mantener el bosque en el estado deseado con el transcurso del tiempo. La introducción de cambios inapropiados en los sistemas de ordenación y prácticas silvícolas puede tener un impacto considerable en los bosques y en su diversidad biológica, salud y vitalidad (Poore 1989, Dawkins & Philip 1998). Tal como se mencionó previamente, las experiencias exitosas del sector privado que se describen en el presente informe no representan la mayoría de los casos existentes. Constituyen modelos seleccionados en base a ciertos criterios de sustentabilidad para evaluar el desempeño eficiente. Su valor debe juzgarse en el contexto de la problemática existente a nivel de cada país, así como en el plano regional, especialmente teniendo en cuenta la capacidad de las empresas para mantener sus funciones en condiciones difíciles (y adversas). Sin embargo, cabe destacar que no se han puntualizado las experiencias exitosas con el ánimo de ocultar nuestros fracasos. El propósito fue más bien lanzar un aviso para evitar la catástrofe inminente asegurando la ordenación y el desarrollo racional y sostenible de los recursos forestales remanentes. El camino hacia la OFS está, por tanto, plagado de desafíos. El desarrollo conceptual o la existencia de C&I para la OFS, o planes ingeniosamente preparados, no podrán en sí mismos garantizar un manejo forestal mejor y sostenido, lo cual, en cierta medida, contradice la premisa de que un nivel eficaz de OFS exige una inmensa tarea que se logra con dinero, mano de obra, materiales y capacidad de administración. Lo que verdaderamente se necesita es un compromiso absoluto, respaldado por instituciones apropiadas, tecnología, recursos humanos, mecanismos de coordinación, y la canalización adecuada de fondos.
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Sustainable Management of Tropical Forests – Private Sector Experiences 1.0
BACKGROUND
1.1 The Context The Project PD48/99 Rev. 1 (M,F), titled “Sharing of Information and Experiences on Private Sector Success Stories in Sustainable Forest Management”, a joint undertaking of ITTO and the Government of Malaysia, aims to promote the sustainable management of tropical forests by facilitating access to, and enhancing awareness of, information and experiences regarding sustainable forest management at the company level. The Forest Department of Peninsular Malaysia with headquarters in Kuala Lumpur is responsible for project implementation. 1.1.2 Objectives The development objective of the project is to promote sustainable management of tropical forests. It’s specific objective is to facilitate access to and promote use of data, information and experiences on cases of successful forest management, to contribute to the attainment of the ITTO Year 2000 Objective at the forest management unit (company) level. The project is designed to facilitate achievement of the main objectives of the Tropical Timber Agreement of 1994, to support implementation of priority areas identified in the ITTO Libreville Action Plan and to contribute to the realization of various ITTO decisions and priorities in pursuit of SFM. The project also has relevance to national policies of ITTO member countries relating to tropical timber. Specifically, the project will fill the gaps in the availability and dissemination of information and experiences on cases of successful implementation of SFM, by the private sector. 1.1.2 Project Activities The project activities are divided into four important stages: 1. Identify major companies involved in forest production/processing, preferably for export markets, and undertake a questionnaire survey. A respondent-friendly questionnaire, designed to obtain clear and simple answers, are sent to at least 500 companies located throughout the three major tropical regions of Asia-Pacific, Africa and Latin America/Caribbean (Q500). Responses received are analysed for identifying companies successful in implementing SFM and for assessing the problems and issues encountered. The main purpose of Q500 Survey is to select cases for detailed study in the following stage. 2. Based on the outcome of Q500, select interesting/excellent cases to make detailed studies and prepare a synthesized and analytical report, separately for each of the three tropical regions (QS2). During this stage, concentrated efforts are made for collecting indepth information and case materials through structured interviews, based on detailed outlines/questions prepared for the purpose (and also through case research, as appropriate). 3. Prepare for, and convene an International Conference to discuss, share and disseminate the results of the project. 4. Edit, publish and distribute a “book”, reporting on the results of the survey work and the outcome of the International Conference. 1.1.3 Definitional Boundaries The emphasis of this project is on sustainable management of forest resources. Resources are scarce inputs that can yield utility through production or provision of goods and services. A free good is characterized by unlimited supply. Many goods, which were once considered free such as wood, fish, and fresh water, have become scarce over time, with drastic increases in their use, often wasteful use, along with population and income growth. Inefficiency in resource allocation has exacerbated the scarcity situation.
Sustainable Management of Tropical Forests – Private Sector Experiences For the purpose of this study, it is necessary to clearly define the coverage and scope of the private sector, forest management and success stories. a. Private Sector Institutions, agencies, and/or entities which enjoy adequate autonomy, adopt corporate/commercial accounting system, conducts affairs consistent with business principles of efficiency and decentralized decision making fall within the scope of the private sector. Thus, private companies/corporations, publicenterprises, autonomous and/or decentralized public entities involved in forestry business, and co-operative institutions would qualify to be included in this study. b. Forest Management All activities for production and utilization of forest goods and services and conservation of forest resources would fall under the purview of this study, covering wood products (from natural or planted sources), NWFPs, recreation experiences and environmental services. c. Success Stories Success stories are those which would meet certain success criteria. But, it is not always practical for any company or entity to fully qualify in respect of all different criteria which depict an ideal case. Criteria can, often, be conflicting – e.g. conservation vs meeting basic, local needs. When you score success in one, you fail in the other. This project is concerned with sharing of information and experiences. Even a case of failure can often provide a useful lesson or experience. Cases of partial success should surely qualify for our consideration. The following, among others, can be used as criteria for assessing success in sustainably managing the tropical forests: -
System of long, medium and short term plans exists. Annual allowable cut (harvest) has been established. Management information system is in operation. Forest management units are clearly specified. Management activities are based on forest inventory. Reduced impact logging is being practiced. Minimum acceptable standard of environmental conservation prescribed and adhered. Production is consistent with silvicultural systems. Protection measures are in place to control pests, diseases, fires etc. Social equity obligations have been fulfilled. Ability to attract viable investment exists. Effective monitoring and certification system has been established. System of appropriate and non-distortionary incentives are in place.
1.1.4 Scope of the Report In the Asia-Pacific Region, Stage 1 (Q500 Survey) was carried out over a period of 7 months, January-July 2002. Stage 2 was conducted over a period of another 8 months, October 2002- May 2003. The present report covers Stages 1 and 2, as far as it relates to the Asia-Pacific Region. The sections that follow will deal with: some of the conceptual aspects relating to the subject; forestry situation in the AsiaPacific Region generally, and in the ITTO PMCs in particular; analysis of the surveys and case studies; discussion of emerging issues and conclusions. 2.0 CONCEPTUAL ASPECTS This section deals, briefly, with the concepts of Sustainable Development, Sustainable Forest Management, Sustainable Forestry Development and Forest (Timber) Certification.
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Sustainable Management of Tropical Forests – Private Sector Experiences 2.1 Sustainable Development Development is about expanding the choices people have to lead lives they value (UNDP 2001). Meaningful improvement of human welfare is the essence of development. The term “sustainability”, as is used here, reflects the general sense of the term as in both the Brundtland Report (WCED/UN, 1987) and Agenda 21 (UNCED, 1993). Sustainable development, accordingly, means the development that meets the needs of the present, without compromising the ability of future generations to meet their own needs. In the context of current development, a World Bank paper states that a primary goal of sustainable development is to achieve a reasonable and equitably distributed level of economic well-being that can be perpetuated for many human generations. It requires that the allocation of resources to meet the needs of present generation should not prejudice the interests of future generations. It implies using renewable resources in a manner which does not degrade them. Current activities may be qualified as sustainable if they do not reduce the productive potential of the asset base and the set of opportunities open to future generations. Sustainability subsumes productivity (growth) and equity (World Bank 1992). Social justice is of prime importance in sustainable development. Development has physical, environmental, economic, social, cultural and other processes. These processes influence each other. Physical development that is poorly conceived and badly implemented causes many of today’s environmental problems, affecting soil, water, flora and fauna, bio-diversity and integrity of eco-systems, vital for human welfare. Only appropriate interaction among ecology, economics and sociology will lead to harmonious development. Sustainable development, the central theme of UNCED Agenda 21, underlines the need to link growth to environmental quality and conservation. Without sustainability, environmental deterioration and economic decline will be feeding on each other. Development of all aspects or sectors of the economy should be carried out in a sustainable fashion; development of one should not result in sacrificing the sustainability of another. Sustainable management of renewable natural resources should inherently be based on using income or interest, and not consuming capital, as has been happening in the recent past. The rate of harvest of living resources should not exceed rates of regeneration or replenishment. It also implies maintenance, rational use and enhancement of the natural resource base that underpins ecological resilience and economic growth. Sustainable development, thus, is a scientific concept with a social purpose to be achieved through efforts towards optimizing production and distribution of benefits with a sense of intergenerational equity. To translate sustainable development principles into practice requires knowledge of both the ecosystem and the economic and social behaviour of the parties involved. People are central to the concept of sustainable development. Ecologically, sustainability has two attributes in addition to equating harvest to regeneration: (i) sustain adaptability and capability for renewal of plants, animals, soils and waters; and (ii) maintain biological diversity. It also implies understanding the irreplaceable and unknown values of wild plants and animals, and of the variety of ecosystems. Sustainable management and utilisation of natural resources, would call for several actions: formulation and implementation of strong policies; a rational system of resource pricing; incentive / disincentive system to address or restrain the greed factors; continuous refinement of technology; adoption of conservation measures; efficient and waste-free utilisation including product recycling; coordination among the resource sectors; involvement of people; and above all adequate investment. Often, some of these actions have been missing. Due to various pressures and omissions, the global environment and the world’s natural resources are being degraded at an alarming rate. Living resources are harvested, in many cases, exceeding the rate of regeneration. The forests are one of the worst affected natural resource. During 1981-1990, annual change in natural forest cover in the developing world was –16.3 million ha (FAO 1995). The corresponding figure during 1991-2000 was –14.6 million ha or about 0.75% of the forest area (FAO, 2001). Equally serious is that the remaining forests are getting further degraded by heavy harvests and frequent forest fires, endangering species and ecosystems. Along with thousands of other species, some 716 tree species globally are critically endangered (Rietbergen, 2000).
Sustainable Management of Tropical Forests – Private Sector Experiences In September 2000, at the special Millennium Session of the UN, the World Bank, UNDP, UNEP and WRI presented the first result of a Pilot Analysis of Global Ecosystem (PAGE). The report shows that all the five major types of ecosystems – forests, freshwater systems, coastal/marine habitats, grasslands and agricultural lands –are showing signs of deterioration. Many of the statistics are staggering: half of the worlds wetlands have been lost in the past century; 58% of coral reefs are imperiled by human activity; 80% of grasslands are suffering from soil degradation; 20% of dry lands are in danger of becoming deserts and ground water is being depleted almost everywhere. There is need for adequately balancing development and environmental conservation. 2.2
Sustainable Forest Management
2..2.1 Global Concern Forest, the main body of the terrestrial ecological system, is a complete resource base as well as a habitat, performing multiple roles and functions, vital for human welfare and sustainable socio-economic development. However, history is replete with instances of unsustainable utilization, and consequent deforestation and forest degradation, manifested by natural disasters, loss of bio-diversity, global warming, scarcities and human misery. The core objective for forestry in UNCED Agenda 21, is to achieve conservation and rational utilisation of all forests and tree-based resources, to increase their contribution to overall socio-economic development, environmental protection and people’s quality of life (UNCED, 1993). ITTO’s Objective 2000 is based on the concern to halt the trend of unsustainable forest management. 2.2.2 Defining SFM There are several definitions of SFM. ITTO defines SFM as the process of managing permanent forest land to achieve one or more clearly specified objectives of management with regard to the production of a continuous flow of desired forest products and services without undue reduction in its inherent values and future productivity and without undue undesirable effects on the physical and social environment (ITTO,1998). Within the broad framework of sustainable development, SFM should ensure that values derived from forests meet present day needs, while ensuring that the forests maintain a quantity and quality that contributes to long-term development needs (FAO, 1993b). A rational and balanced combination of different functions of forests – production, protection, conservation and provision of environmental amenities – is essential to help conserve sustainability of forests. It needs to incorporate large plants, animals, micro-flora and fauna, water and soil as well as traditional knowledge and heritage. The concept is holistic and the task is multi-disciplinary in nature. Its horizon is infinite. In short, SFM is specific and practical action for translating the concept of sustainability into reality in forestry. This calls for the use of forest at levels that do not change the environment (including elimination of wasteful consumption), and within its regenerative capacity. With many different definitions, there appears to be no consensus on the interpretation regarding the scope, use and context of SFM. Like in the case of the fabled elephant and the blind men, SFM means different things to different people. Also, clear, comprehensive, reliable and adequately analysed information is still not readily available, such that doubts are often raised whether sustainable management of tropical forests is technically and economically feasible. 2.2.3 Forestry Profession and Silvicultural Management In the ancient and feudal past, while the importance of forests for supporting human welfare in the form of food, shelter, medicines and amenities was well understood, their management did not have adequate scientific foundation nor professional guidance. Forestry as a formal profession was founded early in 1700s, in Germany. Hans Carl Von Carlowitz, in 1713 wrote the first treatise solely devoted to forestry, and it is full of exhortations to take better care of forests and to establish new ones.
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Sustainable Management of Tropical Forests – Private Sector Experiences Systems for managing the forest were developed in the following decades. It was recognized that forests can be managed for the sake of physical and environmental benefits they confer, or for production of useful goods or, often, for both. Forest management, thus, was understood as dealing with the organization of a forest property, for its utilization and maintenance, by ordering in time and place, the various operations necessary for the conservation, protection and improvement of the forest on the one hand, and the controlled exploitation of the forest on the other. Forest management involves much more than just harvesting of forest products. The basic principle of scientific forest management is one of sustained yield, or preferably of increasing yield through technological improvement. This principle is consistent with environmental conservation, since it aims at perpetuation and improvement of forest resources. The principle of sustained or increasing yield can apply only to forests which are permanently retained as such, calling for consistency in policy. 2.2.4 Principle of Sustained Yield The principle of sustained yield management, which was the hallmark of scientific forest management, originated from the vision of the pioneers of forestry profession. The principle was applied essentially for timber harvest (being the main product in demand). What it requires is harvesting wood at an average rate no greater than the forest in question can regenerate it. Therefore, some environmentalists consider this concept to be narrow and irrelevant to SFM in a comprehensive sense. This appears to be a matter of semantics. In fact, trees, the source of timber, provide character and anchor for the forests. If trees are managed scientifically and sustainably, the rest would fall in place. Thus, sustained yield principle is an effective proxy for SFM, for optimizing both tangible and intangible values of forests. Also, the scope of management, including yield regulation, can be widened to incorporate both tangible and intangible values. 2.2.5 Silvicultural System as a Forest Management Tool Silvicultural system defines the type of operations to be carried out as part of production management of forests. It is a process by which the crops constituting a forest are tended, removed and replaced by new crops. This includes manipulations to influence the nature and composition of the new crop. Thus, the essential features of the silvicultural systems are: the methods adopted for the regeneration of the crops; the character of the crops produced by such systems; and the distribution of the age-classes over the area of the forest. The system adopted should be suitable to the silvicultural requirements of the species involved and their special environment. These requirements may vary greatly from one locality to another even within the same species or group of species. Therefore, the system applicable under one set of local conditions could be quite unsuitable elsewhere. The choice of silvicultural system under traditional forestry was influenced by the concept of sustained yield. If a forest is to produce sustained yield in perpetuity, it should possess certain characteristics i.e. normal series of age gradations or age classes, a normal increment and a normal growing stock. A normal forest is, thus, one which contains a regular and complete succession of age gradations or age classes in the correct proportion so that an annual or periodical removal of the mature wood results in an equalization of the annual or periodical yield. Normality, however, is an artificial ideal. There is no normality independent of treatment; and it is related to rotation/cycle and the system of management; it is created by progressive silvicultural treatment. The concept of normality in forestry is akin to the concept of SFM. A critical factor in SFM is the livelihood sustainability (security) of the communities living in the vicinity of forests. Since forest resources exist in the immediate vicinity of the communities, they have a vested interest to manage the resources in a genuinely sustainable manner. Nearly a century and half ago, Dietrich Brandis, the father of modern forestry in the erstwhile Burma and India, was conspicuously successful in sustainably managing the forests in his charge. Asked about the secret of his success he mentioned only two simple principles: treat the people (living in and around the forests) as friends; and ensure not to remove more than the incremental growth (Brandis, 1872). The principles of SFM as understood by Brandis is eternally valid.
Sustainable Management of Tropical Forests – Private Sector Experiences 2.2.6 Management Planning Tropical Forests reportedly under some form of management regimes covered less than 5% in 1980 (FAO 1982); and about 10% in 1990 (US-EPA, 1991). In 1995, ITTO estimated that only about one million ha of tropical forest is genuinely under sustainable management. ITTO adopted the Year 2000 Objective in 1991 as the strategy by which all of its member countries would progress towards achieving trade in tropical timber from sustainably managed forests by the year 2000. Reviews undertaken in that regard have found evidence of considerable improvement. ITTO had estimated in 1998 that a maximum of one million ha of forest in 17 tropical timber producing countries were being managed sustainably for wood products. In the same countries, in 2000, a considerably large area was under SFM for wood production. Currently more than 35 million ha of forest in those countries are covered by formal management plans. Nevertheless, the review found that a lack of trained personnel and finance still impedes progress in the forest sector and that even the best-performing countries have not yet fully achieved the objective (FAO 2001a, Poore 2003). 2.2.7 Addressing the Basic Constraints Duncan Poore et al (1989) lists long-term security of operation, operational control, a suitable financial environment, and adequate information/knowledge as important conditions for sustainable timber production. Accordingly, the circumstances where sustained yield timber management succeed are the existence of : long established system of management; well trained, disciplined and committed staff; research facilities; arrangements to save forests from excisions; and field control (not only paper control). Lack of these encourage unsustainable management. Generally, however, unsustainable practices in the use of natural resources are attributed to several factors. Population pressure, competition for scarce resources, distortionary policies, lack of transparency, inadequate technology, and irresponsible consumerism are some of them. Poverty, a key concern of developing countries is often flagged as a major obstacle for sustainability of natural resources. Several studies have brought out human greed as an important factor leading to unsustainable use of natural resources. One, often, tends to confuse the symptoms of unsustainable forest management (such as overharvesting of forests and forest fires) as basic or underlying constraints, and overlook the greed factor. Without commitment to suppress the “greed factor” through effective policies and their implementation, sustainability of the precious and dwindling forest resource base cannot be ensured. 2.2.8 Measures to Reverse Unsustainable Trend in Forest Management To control and reverse the unsustainable trend, where such exists, and to move towards SFM, it is necessary to work in different fronts, depending on the specific nature of situations: • Control of deforestation and forest degradation • Inventory and assessment of the resource base • Functional and land capability classification of forests and landuse planning including definition of acceptable safe minimum standards in management • Multiple-use management with a rational combination of the production, protection and conservation functions • Protection of adequate extent of natural forests for their long-term contributions • Rehabilitation of degraded forests and improvement of forest productivity • Waste-free utilisation of forest resources • Creation of new, and enhancement of existing, forest resources • Promotion of sustained investment and efforts for producing forest goods and services outside forestlands • Waste-utilisation and enhanced recycling programmes • Feasible mechanisms for encouraging participation of people and private sector • Institutional reforms
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Sustainable Management of Tropical Forests – Private Sector Experiences In the context of SFM, the forestry sector will encompass all forestry and related activities carried out by public, private, co-operative, and participatory efforts. The multiple functions and contributions of forests are subject to conflicting demands and interests, and co-ordinated efforts are needed to resolve conflicts and to promote an integrated approach. 2.2.9
Benefits and Costs of SFM
a. Benefits Sustainable forest management has several benefits. It is difficult to value the benefits of forests only for one product or service, or for a specific dimension – local, national, or global (Panayotou & Ashton 1992). The components of the overall benefits of SFM can be differentiated into categories depending on their nature, tangibility and measurability, into use values (direct values and indirect values) and non-use values (option values and existence values)1 These different categories do overlap. While some direct use-benefits can be obtained in the short-run through unsustainable practices, it will be at the cost of loosing other benefits. All the different values have measurement problems, more so for the intangible values or benefits. Very often it is not possible to give a monetary value for the benefits that can be quantified in other measures e.g. time or volume. Total economic value of forests is the sum of the four kinds of values mentioned; and this is to be expressed within defined space and time, if and where they can be measured or estimated. The relationship between the benefits and costs is a prime consideration for investment decisions. b. Costs Sustainability has clear cost implications. There is a given technology at the back of every production function. The unit cost involved for the various component activities of SFM would depend on the technology in use, scale and organization of operations, objective criteria and efficiency level, ownership and land tenure arrangements and so on (Poore, 1989). Total cost of SFM will be the aggregated cost of all component activities. Direct cost (cost of inputs) of SFM may tend to be higher in the short run. However, its social and environmental costs (negative externalities) will be lower with a healthy stream of benefits. Some general considerations relating to SFM having implication on costs are given below: • An integrated activity may tend to be cost-efficient. • Multi-product and multiple use management of forests demands higher technology, but each of the products could be produced cheaper than if they had been produced singly. • Non-destructive and eco-friendly uses of forests can generate attractive revenue. • When all costs involved (private, social and environmental) are considered, SFM entails less cost and generally provide more benefits. • SFM with people’s participation tends to be more successful than the cases where people are excluded. • Scale of operation in forestry and forest industry needs to be designed to achieve an appropriate balance (i.e. of economies and diseconomies of scale). • NWFPs have enormous potential in many tropical forests and it forms a better alternative for SFM than timber production in some areas. • Multi-storeyed, multi-purpose tree plantations under a polycropping system can reduce pressure on natural forests for essential goods and services. • SFM requires a minimum area or critical mass depending on the situation or purpose (e.g. sustaining a tiger population requires a much larger area than protecting an endemic plant spices). Economists contend that SFM, though a very desirable goal, cannot often compete with alternative 1
Direct use values are those where the output or product can be used or consumed directly (e.g. wood, non-wood products, forestbased recreation). Indirect use values provide functional benefits such as flood control and carbon sequestration. Option values arise from keeping the options open for future. Existence values are those provided by the continued existence of the resource – e.g. ecological resilience, health of habitat.
Sustainable Management of Tropical Forests – Private Sector Experiences forms of land management on purely financial (private benefit) terms (Kishor and Constantino, 1994). Incorporation of external environmental benefits clearly adds to the attractiveness of forestry enterprises. All investments have a time horizon. Higher rate of interest tend to favour short investment horizons and, often, unsustainable practices. Since the high rate of discount implies that the present generation attaches low priority to the well-being of the future generations, the goal of sustainable management of natural resources should favour low interest rate. Also, private benefit/cost ratio is a financial relationship and is different from the social benefit/cost ratio. Often, high private benefits (profits) are earned by inflicting heavy social cost or loss of social benefits. Moreover, unsustainable forest practices have a visible corollary in redundant and inefficient processing capacity. SFM has very high positive externalities. If all costs and benefits – direct and indirect, private and social – are taken into consideration, SFM is the most efficient, effective and least cost alternative for managing our forest resources. 2.3 Sustainable Forestry Development – The Dynamic Dimension Development signifies net positive investment. Sustainability requires that the formation of new capital equals the sum of rents from resource depletion and environmental damages. For sustainable development, capital formation has to be even higher, requiring higher level of investment (Panayotou, 1995). In a dynamic sense, sustainability would necessitate the need to improve productivity and efficiency. In respect of forestry, investment for sustainable development should, therefore, be more than the value of capital lost through deforestation and forest degradation. 2.3.1 Multiple Dimensions and Some Confusions Several new dimensions have been added to SFM/SFD, with new and emerging knowledge about the multiple roles (direct and indirect) of forests. All new conventions, protocols, principles and guidelines bring with them a chain of new dimensions involving biology and biological diversity, chemistry, physics, policy, technology, environmental quality, inter-relationships and linkages, and nurturing of soil, air, water, flora and fauna. While it is important that development should be knowledge-based and that the multiple aspects indicated have their own place of relevance, confusion seems to exist as to which of the roles (such as soil and water conservation, bio-diversity conservation, carbon sequestration, provision of goods and services and value-added processing) are more important in the hierarchy of SFM and where each of them would, or should, fit in. It is necessary to clarify in simple terms what SFM is, what should be sustained primarily, and how can the different forestry objectives be balanced against one another in an ordered and organized manner, if it should have a significant impact. 2.3.2 New Approaches and Initiatives Special features of forestry, namely: its long gestation period and investment horizon (often not matching with the social time preference); the difficulty to distinguish between forest capital and incremental growth (often leading to over-exploitation and capital consumption); and the high level of externalities (often resulting in low profit and disinterest on the part of investors) adds complexity to its management. This complexity, along with a host of other constraints facing the sector, often lead to a narrow or partial approach (e.g. concentrating on scientific aspects or institutional aspects) and aiming at limited or partial accomplishments (e.g. bio-physical gains or social gains). What is required is an integrated/holistic view to planning and implementing SFM (Figure 1).
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Bio - physical change
Science based approach
Institution based approach
Social change
Figure 1. Perceptions of forest management
2.3.3 Criteria and Indicators for SFM A clear set of criteria and indicators(C&I) for SFM can help to remove the confusion about its scope, and to provide a practical approach for its implementation. Criteria represent principles, rules and standards by which a thing, matter, situation or action is judged. In respect of SFM, criteria are characteristic features or conditions or standards, based on which it is possible to evaluate the various aspects of forest management. Criteria can be qualitative or quantitative. The achievement of a criteria often has to be judged by suggestive indicators, or proxy measures. Criteria are often reflected in specifications, goals, strategies, principles, and/or guidelines. Indicators are series of verifiable actions, events or attributes that may help to measure or describe a criteria, or indicate progress towards achievement of results, or completion of activities. An important criterion of forest management is that its health and productivity should be sustained. A healthy forest is resilient to changes, and stable in its structure and functions. Normality of forest, having a normal series of age gradations or age classes, is considered as an indicator of sustained yield management criteria. C&I are often used as a tool for assessing trends in the conditions of forests and forest management, and involve measurements, evaluations, and comparison of time series data. The purpose of C&I for SFM is to measure changes over time towards or away from sustainability in respect of various aspects – productivity, benefits generated, use of resources, value addition, and contribution to overall development. In some cases, changes over space (differences in C&I from location to location) can help to explain the specific influencing factors (forest clearance affecting micro-climate and productivity in a down-stream location), and to design counter measures to address the situation. C&I in some form or other were prevalent in forestry in several countries, in respect of areas managed under working plan prescriptions. Measurements of area, growing stock, changes in site quality/ productivity and other quantitative attributes were made during every revision of management plans on a cycle of about 10 years as a basis for new or revised prescriptions. Thus, C&I are not a new or post-UNCED phenomenon. It is only that the emphasis given to SFM in the UNCED Forest Principles and Agenda 21 (Chapter 11) is reflected in the post-UNCED initiatives, including those to establish C&I for SFM. The difference between SFM (for optimizing the use and non-use values of forests involving multiple products and services) and the traditional timber or woodland management, needs to be clear to the managers and practitioners. Hence the importance attached to the new concept of C&I for SFM. (Wijewardana, 1997).
Sustainable Management of Tropical Forests – Private Sector Experiences
a. The Ongoing Processes There have been several initiatives since the early 1990s to develop C&I for SFM. Apart from C&I for SFM at the national level, these initiatives have also gone into details of C&I at the Forest Management Unit (FMU) level. The major ongoing initiatives on C&I for SFM are the following:• ITTO Process (for tropical forests). Initiated in 1992 (and revised in 1999). 7 criteria and 66 indicators at national level. • The Pan European Forest Process on Criteria and Indicators for Sustainable Forest Management (for temperate and boreal forests). Initiated in 1993. 6 criteria and 27 quantitative indicators (+101 descriptive indicators) at national level. • African Timber Organisation Process. Initiated in 1993. 20 criteria and 60 indicators at national level. • Montreal Process on Criteria and Indicators for the Conservation and Sustainable Management of Temperate and Boreal forests. Initiated in 1995. 7 criteria and 67 indicators at national level. • The Tarapoto Proposal on Criteria and Indicators on Sustainability of the Amazon Forest. Initiated in 1995. 11 criteria and 47 indicators at national level. • The Dry Zone Africa Process on Criteria and Indicators for SFM (for sub-Saharan countries). Initiated in 1995. 7 criteria and 47 indicators at national level. • The Near East Process. Initiated in 1996. 7 criteria and 65 indicators at national level. • Lepaterique Process in Central America on Criteria and Indicators for Sustainable Forest Management. Initiated in 1997. 4 criteria and 40 indicators at national level. • CIFOR Process. Initiated in 1998. 26 criteria and 99 indicators at national level. • Regional Initiative for the Development and Implementation of National Level Criteria and Indicators for Sustainable Management of Dry Forests in Asia. Initiated in 1999. 8 criteria and 49 indicators at national level. • As of 2000, 149 countries were involved in the above processes (FAO 2001d). While C&I developed by the various processes differ in specifics, they are conceptually similar in objective and approach, providing a small number of criteria and a large number of related indicators. The common fundamental elements of criteria, within the various processes are: extent of forest resource; biological diversity; forest health and vitality; production functions of forest; protective functions of forest; socio-economic benefits and needs; and legal, policy and institutional framework (Wijewardana, 1997). b. Some Problems Problems faced in the application of C&I for sustainable forest management are several. These, among others, include the following: • Inadequate benchmark information. • Forest resource surveys/bio-prospecting, land capability classification and time series studies are technology-intensive and expensive. They also need to be repeated at regular intervals. Due to financial constraints, such surveys are rarely done in developing countries. • Statistical information, wherever such exists, mostly depicts a partial image – i.e. legal or recorded. Thus, illicit clearances, extent of incendiary or negligent fires, illegal removal of products (e.g. timber and fuelwood) or grazing do not figure in statistics, making bench mark studies untenable and meaningless. • Methodologists to tackle complicated comparisons (of C&I for SFM) involving statistical theories, benefit-cost comparisons, marginality concept etc. are not in frequent use. Macro-level (gross national level) estimates/guesstimates are what prevails, and they exhibit unlimited margin of error !!. Micro-level measurements and their aggregations are hardly found.
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Sustainable Management of Tropical Forests – Private Sector Experiences • In the absence of established bench marks, in most cases, it is difficult to produce useful results and this creates a situation where funding becomes difficult. Interface aspects such as influence of forest on soil fertility, water resource, wildlife, bio-diversity, carbon storage and so on are difficult to be quantified and are, often, left to wild guesses. Same is true of socio-economic interfaces of forests and adjoining habitations (e.g. intensity of grazing, honey hunting, litter collection), affecting sustainability levels. • Multiple clientele makes sustainable or undiminished flow of benefits an impossible proposition. What one user or beneficiary thinks as good or sustainable use (say, grazing) may seem unsustainable or degrading to another; and reconciling divergencies is not an easy task. • Existence of an elegant system of C&I alone will not ensure SFM. It belies the fact that, effective SFM involves enormous task requiring money, manpower, materials and management. It is seen noted in several reports that criteria and indicators are not standards for certifying forest management and should not be made a basis for trade; but their linkage is obvious. c. The Model Forest Approach The model forest approach is a “new model”, supported by some international agencies and donor Governments. A model forest is a large-scale forest ecosystem, incorporating the full range of forest uses and values, where stakeholders – people with direct and indirect interest in the model forest area – supported by appropriate information, can participate in decisions on how the model forest area and it natural resources should be used and managed. The cornerstone of each model forest is a partnership of stakeholders with different perspectives on the social, economic and environmental values of the forest, who meet regularly to exchange information, views and ideas on the activities in the model forest area and the current or expected impacts. The process of promoting SFM through the development of model forests is referred to as the Model Forest Approach to SFM. Model forest partnerships do not carry any executive authority, but provide a forum for stakeholders to exchange information and views, including how they are impacted upon, positively or negatively, by actions in the model forest area. Each stakeholder retains the right to act as he/she deems appropriate. However, it is hoped that as partnerships develop, the decisions made by each stakeholder will consider the needs, priorities and values of all stakeholders. This will require a major change from traditional “top-down” approaches to the use and management of forest resources, and in the way people think and act. The impacts of model forest initiatives are expected to be substantial, touching on good governance, sustainable economic development and diversification, and improved policy-making processes, leading ultimately in improved policy. Model forests also have potential as demonstration and training areas for national forest programmes. Model forests are developed according to a broad set of minimum defining attributes which allow them to maintain coherence, shared direction and multiple opportunities for mutually beneficial exchange. Myanmar, Philippines and Thailand among the ITTO members in Asia-Pacific region have model sites under the FAO/Govt. of Japan Regional Project on Model Forest Approach for SFM. 2.3.4 Forest (Timber) Certification The early initiatives for eco-labeling/green-labeling and timber certification predates the new initiatives of C&I. Vigorous calls for boycotting tropical timber originating from certain sources by markets in developed importing countries were first made in mid-1980s, by environmental NGOs. Producer countries tended to interpret this as an attempt at trade restriction and as a non-tariff barrier, preventing the entry of tropical timber into the developed country markets. Foreseeing the trend, some major timber exporting countries like Indonesia started measures to improve forest management and performance of forest concessions, and established Model Forest Practices Code. Indonesian Eco-labeling Institute was established in 1993 with a view to begin certification of FMUs and an eco-labeling scheme in the shortrun, and to ensure SFM in the medium and the long run. While certification and ecolabelling initiatives are linked to C&I for SFM, it is also linked to issues of trade and environment.
Sustainable Management of Tropical Forests – Private Sector Experiences a. Progress in Certification Certification is a seal of approval or logo, provided to those that meet or exceed a set of baseline standards. Need for certification applies not only to timber but also to NWFPs and services, including ecotourism, eventhough the current pre-occupation is on timber certification. By the end of 2000, around 90 million ha or about 2% of world’s total forest area were certified. 92% of all certified forests were in temperate industrialised countries (FAO, 2001b). Seventeen ITTO producer member countries account for 1.7 million ha of forest certified by third parties. Area certified in Asia by the end of 2000 was only 568,000 ha. By the beginning of 2002, the area of certified forest had increased to 109 million ha, representing 2.8% of world’s forests. Only 8% of all certified forests are in Asia, Africa and Latin America. The forests certified in the tropics tend to be those that were already relatively well managed (FAO, 2003). There are a number of forest certification schemes: Certification by Forest Stewardship Council (FSC); Pan European Forest Certification (PEFC); Malaysian Timber Certification Council (MTCC); Lembaga Ecolabel Indonesia or Indonesian Ecolabelling Institute (LEI); and American Tree Farm System Scheme (ATFS). FSC tends to certify large forest holdings (through forest certification companies such as Rain Forest Alliance/Smartwood), while PEFC and ATFS are specifically designed for certifying smaller holdings. The principles based on which FMUs are evaluated by FSC for certification are related to the following: compliance with laws and principles; tenure, use rights and responsibilities; indegenous people’s rights; community relations and workers rights; benefits from the forests; environmental impact; management plan/planning; monitoring and assessment; maintenance of high conservation value forests; and plantations. For manufactured products, a system of “chain of custody certification” is adopted. The basis of this system is a one step backward assessment to check the completeness of the documents, and the correspondence between the documents and the wood used. The “green procurement” policy of the consuming countries will make it increasingly necessary for the forest products exporting countries to obtain certification. Some skepticism, however, is seen expressed that some “green washing” can take place in the name of certification, when ecological objectives are fudged for profit (Anon, 2002). b. Controversies and Comments Certification has been a controversial issue concerning trade and the environment. Producer countries and trade groups have tended to highlight the trade-restrictive aspects of the practice, while consumer countries with strong environmental lobbies have stressed its potential environmental benefits. Great interest in certification is shown by importing countries, largely restricted to western Europe (especially Germany, the Netherlands and the United Kingdom) and to a lesser extent the United States, as well as by exporting countries whose main export markets are in these areas. Despite the attention paid to certification, only a small number of schemes are in operation and the volume of timber covered by them, while increasing, is still minor. Accurate statistics on the area of forests certified and the volume of certified wood entering the market remain difficult to obtain, and the figures are often hard to interpret. Progress in tropical forest certification has been slow. Atyi and Simula (2002) have pointed out some of the impediments. One of these is the inflexibility of standards. Tropical forests, they argue, are disadvantaged when certification standards focus on the end-results of management practices and do not recognize stages on the way to sustainability. They recommend a phased approach to certification, one that might help bridge the two paradigms. The first phase, they suggest, should be to demonstrate compliance with forest laws. Leslie et al. (2002) argue that forest certification in its current form will remain a marginal activity, with little influence on the retention of forest values (such as bio-diversity) in natural tropical forests – through reduced harvest and reserving TPAs. One reason for this is the declining real value of timber grown in such forests; even now, such timber is not able to generate sufficient revenues to make sustainable (or certifiable) forest management an attractive land use option, and it seems likely that it will be even less capable of doing so in the future. Some systems, more or less to achieve the same result as is being sought through certification, were in vogue in some countries, in the past – involving detailed timber accounting procedures, auditing,
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Sustainable Management of Tropical Forests – Private Sector Experiences surveillance of timber movements, surprise checks and so on. But along the way, they were cast aside as burdensome or downgraded. The lesson here is that unless certification can bring in benefits, the producer will lose interest in voluntary certification. 3.0
PRIVATE SECTOR IN FORESTRY
ITTO Support for Improved Nursery Practices, PT SBK, Indonesia
Investment policies in developing countries are often designed to allow a balanced and complementary development with participation of both public and private sectors to benefit from their comparative strengths. Because of the comparatively long-term nature of investment, the forest resource sector, in most developing countries, does not sufficiently attract private investment. Private investment is influenced by policies and strategies adopted for mobilizing capital, including incentives, credit and marketing facilities, measures to reduce risk, and regulations related to products, scales and horizons. Private investments in the forest sector include small, medium and large enterprises. Small investments in forestry are often local investments – sponsored by or for local people, using local resources. Local investment in forestry takes place in tree growing, producing economic forest products, harvesting and small scale processing enterprises. Private investment in medium and large enterprise are initiated by industrial houses and private corporations/companies, both national and multi-national. Medium and large scale investors are present in almost all forestry activities: forest plantations, forest harvesting, forest-based processing and marketing. Involvement of private sector is to a great extent influenced by the nature of ownership of the forest resource. 3.1 Forest Resource Ownership Ownership of forest falls under two broad categories: public (or government) and private. While the term “public ownership” is used to mean common ownership by all citizens of a country, private ownership is used to mean those owned by individuals, families, cooperatives and membership organisations, NGOs, industrial houses, private domestic corporations/companies and multi-national corporations. In between the purely public and purely private ownerships, there are those owned (customarily) by communities, tribal groups/clans, villages and religious establishments. From the point of view of holding size, the ownerships can range from very small to very large. Forest ownership pattern is, often, linked to the political history of the countries. Globally, governments own and administer about 77% of all forests. This includes large areas that local communities manage without official recognition. Communities and indigenous people formally own 7% of the forests and officially administer an additional 4% that the governments have reserved for them. Individual land owners and private companies own the remaining 12%. In the developing countries as a whole, indigenous people and local communities own or manage 22% of all forests, compared to only 3% in the developed countries. Over the last 15 years, the forest area that communities and indigenous people own and administer has more than doubled. It now stands at about 380 million ha. Several countries (e.g. Malaysia and Philippines) have recently taken major steps to recognize indigenous people’s rights to forest territories (White and Martin, 2002).
Sustainable Management of Tropical Forests – Private Sector Experiences In general, most natural forests in the Asia Pacific region are under in public ownership. For example in India, Indonesia, Malaysia and Myanmar, governments own more than 90% of the forests. The exceptions among developing countries of the region are in the Pacific Islands, where indigenous people and local communities own most forests under customary law. (Table 1). Table 1. Examples of forest ownership Area in million ha (%) Public
Private
Country
Administered by Government
Reserved for Community/indigen ous Groups
Community/ Indigenous Groups
Individual/ Firm
Indonesia India Myanmar PNG 24 of the top 30 forested countries
104.0 (99.4%) 53.6 (76.1%) 27.1 (100%) 0.8 (3.0%) 2,803.2 (77.4%)
0.6 (0.6%) 11.6 (16.5%) 131.4 (3.6%)
25.9 (97.0%) 246.3 (6.8%)
5.2 (7.4%) 443.0 (12.2%)
Source: White and Martin, 2002
Ownership of forest plantations also varies. In the Advanced Industrialised Economies and Newly Industrialising Economies, plantations are usually privately owned or managed. In the countries previously under central planning system, most plantations remain in public ownership, although some plantation operations are now being privatized. In other countries, ownership patterns are mixed (FAO, 1998b) 3.1.1 Limitations to Ownership Rights Property rights over natural resources have several restrictions and are not meant to be absolute. The property rights of individuals are subject to public rights for clean air, water, environmental amenities etc. The concept is that natural resources should be put to beneficial use, while recognizing the interests of others and ensuring that the resource itself is not damaged during the process of (private) use. 3.1.2 Different Arrangements for Managing Forests Different institutional arrangements for forest management are seen, based on ownership and operational/investment responsibilities: • Forest owned and managed privately, subject to government regulations. • Private entrepreneurs manage customarily owned community/tribal forests, subject to legally valid arrangements. • Small sized private forests (woodlands) managed by co-operatives of small holders. • Forest owned and managed (including harvesting), and product processing/marketing fully or partly carried out by government, either directly or through state-owned companies. • Forests owned and silviculturally managed by government, and harvesting, processing, and marketing undertaken by private sector. • Forests owned by government and managed (except for protected areas) by private sector on lease arrangements, including harvesting, processing and marketing. • Forest privately or customarily owned by individuals or communities and managed directly by government or through state owned companies, for the benefit of the owners. The different institutional arrangements involved have different biases, priorities and philosophical stance. The prime objective of the public sector management is normally the enhancement of socioeconomic benefit at the national/state level, reflected in social benefit/cost ratio. Priority of the private sector, understandably, will be to ensure attractive returns on investment and to maximize profit, reflected in a high private (financial) benefit/cost ratio. The bias of small investors and local communities tend to be livelihood
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Sustainable Management of Tropical Forests – Private Sector Experiences security and socio-economic welfare. The ethical and equity dimensions of SFM are, therefore, perceived differently by the different stakeholders. This leads to conflicts and, often, confrontations (e.g. between those who manage upland watershed and those who are involved in down-stream land utilisation). Investors rarely show any interest to generate social benefits or avoid social costs, unless pushed by the government or the market. Similarly, beneficiaries have no interest to pay any share of cost involved in generating the social benefits. A proper balancing of the objectives and actions of the various groups involved can help to resolve conflicts and to develop complimentarity. The focus of this study is on such of the arrangements where private sector is actively involved and/or business management principles of efficiency and sustainability are effectively applied. 3.2 Private Sector In Forest Resource Management Private sector has been involved in the forestry sector in various activities, differing in nature and magnitude. Many countries, in the early phase of their economic development, needed to generate investment funds. Governments themselves were often unable to mobilize the resources and had to woo the private investors into the lead sectors (such as forestry, mining and fishery). The rationale (and assumptions) behind promoting private sector involvement in forestry are: • Inappropriateness of direct government involvement in commercial forestry. • Improved efficiency through separation of commercial forest activities from non-commercial activities. • Improved operational transparency. • Revenue generation in the form of rents and royalties, with a reduced burden (or no burden) on public funds. • Improved flexibility of private enterprise structures. • Improved access to private capital for development. These assumptions may prove true only to the extent that they are facilitated through implementation of adequate and appropriate regulatory measures. 3.2.1 Private Sector Preferences In forestry, private sector tend to prefer harvesting, processing and marketing of products, given their higher and quicker pay back. Forest management (including resource creation and development) provide comparatively low profit; and private sector is normally hesitant to invest in generating unpriced values (externalities) of forest management. It requires attractive incentives to obtain the participation of the private sector in natural forest management. Logging concessions on favourable terms (e.g. low royalty rate and other privileges) provided the necessary incentives. Where private investment in tree planting is sought, incentives in various forms, such as tax remissions and subsidies are often provided. In countries where the system of forest concessions prevail, medium and large scale investors are present in almost all forestry activities: forest plantations, forest harvesting, forest-based processing and marketing. Some of the large units are integrated complexes. They produce more than one product, integrating upstream and downstream operations – from forest to the market. However, in countries, where such concession system does not exist, private investment in forestry flows mostly into the processing sub-sector, using raw material resources created through local investment or available from government forest lands. 3.2.2 Forest Concessions The term ‘concession’ is used to refer to certain form of franchise, lease or privilege; it internalizes an element of incentive to help attract the private sector. Forest concessions are arrangements (based on agreements or other legal instruments) for utilisation of public forest resources through private sector involvement and investment. The terms of the agreement, usually, give concessionaries the right to cut specified volumes of timber on condition that levies are paid, and that certain management prescriptions are followed. By design, forest concessions are to be integrated with processing unit(s). The concession
Sustainable Management of Tropical Forests – Private Sector Experiences agreements provide for silvicultural treatments, forest protection, regulation of harvesting and prevention of illegal activities; and specify terms and conditions to ensure that the forest resource is appropriately managed. Forest concessions were the most favoured form of arrangement for forest exploitation in the South East Asian countries. Much of the publicly owned forests in the region is, still, de facto managed by the private sector, comprised of a large number of concessions. In several cases, early concessionaries were transnational corporations. They have, by stages, withdrawn from the scene and their presence now is limited. While timber concessions are going out of fashion in Philippines (where only about 12% of forested area is under concession), in Cambodia, Indonesia and Malaysia, 60% of the forest area is under concession management (White and Martin 2002). The predominant forestry activity in PNG is also timber operation under concessions. Because of the integration with processing industries of varying types and sizes, even a relatively small logging concession is large in extent by normal standards. The concessions employ large staff, practice mechanized logging, harvest large volume of timber, export finished products, and have linkages with large financing institutions/mechanisms. Often, several concessions are owned by a large group or industrial conglomerate, and they are politically powerful. a. Company – Community Partnerships Where there is private sector involvement in forest-based processing industries, and in areas where forest concessions have people living in and around forests, attempts have been made to develop company–community partnerships for mutual benefit. In countries where companies are not allowed to acquire forest or get logging concessions, they have no choice except to obtain wood raw material for processing from local small holders (tree farms) or out-growers. Also, in countries where concessions have been granted, the concessionaires can no longer throw out or ignore the local people, as they are legally bound to respect their social responsibility, built into the agreements. Effective partnerships, however, develop only when governments encourage those partnerships, and communities have strong claims/ rights on the land and the forest. To sustain the partnership, the partners must find ways to manage the risks associated with forestry operations and with relationships in general (Mayers and Vermeulen, 2002). The recent collapse of the PICOP scheme of small-holder tree-farming in Philippines after years of seeming success is an illustrative case. For almost three decades the company contracted small farmers to grow trees for pulpwood. But once cheaper sources of pulp came on the market, the partnership arrangement fell apart. In some countries, small scale (small holder) forestry has emerged as a major activity and plays an increasing role to alleviate the wood scarcity created due to the depletion of publicly-owned natural forests, and/or the government-imposed ban on wood harvest in natural forests. b. Local Participation and Small Scale Enterprise Development Also, in several countries of the Asia-Pacific region, the emphasis given to social forestry since the 1970s has led to a recognition and acceptance of participatory forestry as a traditional rural activity; and the entry of “small entrepreneurs” has enhanced the private sector involvement in forestry. There has been, in some cases, a conspicuous change in wood supply sources, with increasing contribution of agro-forestry, homestead forestry, farm woodlots, and tree farms. Wood produced from non-forest private sources has reached a substantial volume in some countries. Community forest management (through organized participation) has also received official support and recognition in some of the South Asian Countries (e.g. Joint Forest Management in India). Overall, local community involvement in forestry takes place in tree growing, harvesting and smallscale processing. Small-sale private investment involved in activities such as growing of medicinal and oilyielding plants, rattan cultivation, bee-keeping, lac cultivation, mushroom production, wildlife farming, taungya cultivation, and buffer zone management is also quite large. Several factors affect the extent and efficiency of local participation in forestry, namely access to land, regulations relating to tree/forest crops, organized credit facilities on easy terms, price guarantees for products, institutional support, extension services, appropriate technology, and adequate incentives.
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Sustainable Management of Tropical Forests – Private Sector Experiences c. Other Opportunities for Private Sector Logging operations in tropical rain forests and related wood processing are the predominant concession activities, eventhough logging also takes place in other forest types such as swamps and mangroves. There has been an emerging trend in several countries to rationalize forest utilisation by appropriately adjusting the focus on timber and by including products other than wood. New investment opportunities in forestry include: creation of resource through intensive forest plantation programmes; agro-forestry development; production and processing of non-wood forest products (such as bamboo, rattan, medicinal and aromatic plants, edible fruits and nuts); wildlife management and farming; nature tourism and recreation. With increasing emphasis on sustainable forest management and utilisation, and considering the merits of multipurpose forest management as a sustainable activity, the future forestry scenario is likely to be marked by a different mix of products (goods and services), a different mix of sources and a different mix of institutional and management regimes. Private sector (of different types) is expected to play an increasing role in this scenario. 3.3.3 Legal Aspects Relevant to Private Sector Involvement In managing public forests, governments use various types of legal instruments, such as contracts, permits and/or concession agreements, in order to establish the rights and responsibilities of both the forest users (e.g. private business, communities, individuals, or public enterprises) and the government. Well-crafted contract agreements can advance social, environmental and economic goals. Whether the private sector involvement in forestry is as owners of forest land or as lessees/concessionaires, there is need for clear and balanced policies as well as effective regulatory measures to ensure that private interests do not vitiate the social values of forests. At the same time, it is also necessary to guard against administrative excesses and deficiencies which can serve as a disincentive and hurdle for sustainable forestry development. The existing stipulations (or lack of appropriate stipulations) in the concession/lease agreements, and institutional instruments relating to: size range of holdings; social obligations of concessionaires; structure of royalty/levies/ charges; prescriptions on silvicultural management; C & I and certification requirements; forest protection; types of processing units to be established; safety measures; infrastructural requirements; participation of TNCs and large business groups; financing and marketing arrangements and so on would need to be reviewed for their efficacy and adequacy in the emerging circumstances, and also to see that the opportunities offered by science and technology have been internalized into the system of forest management. In the absence of price protection and support, small scale local producers are especially vulnerable. This has been the main reason for the failure of many small-scale tree planting and forest-based processing enterprises. Incentives are important to motivate efficiency in production and investment in modernization. One lesson which emerges from recent experience in the forestry development field is that if the resources of the local populations are mobilized effectively, a great deal of productive investment can take place at a rather low cost. Targeted approaches like the JFM in India have produced interesting results. The capacity of the governments for impartial enforcement of policies and regulations, and to provide development support is of paramount importance in facilitating sustainable forestry development. 4.0 REGIONAL FORESTRY SITUATION Asia-Pacific is a region, which has experienced rapid changes – economic growth accompanied by enormous social and political transformation. Asia’s economic performance during the past 30 to 40 years has been remarkable. Overall Asia’s GDP and quality of life has improved dramatically – people live longer, are more literate, eat better, and go to school longer. However, Asia’s environmental performance has not matched its remarkable economic progress. Environmental quality has deteriorated rapidly, and Asia is now one of the world’s most polluted regions. Natural resources are also deteriorating fast (ADB, 1997). A question naturally arises: considering that poverty is itself closely linked to environmental degradation and unsustainable behaviour, how did the economic growth cause these high rates of environmental degradation? It is the finding (ADB op cit) that
Sustainable Management of Tropical Forests – Private Sector Experiences Asia has failed to find the proper mix of market forces, pricing policies and governmental institutions that would effectively combine economic and environmental concerns. The prime causes of Asia’s environmental degradation, among others, are: population growth, skewed economic growth which permits poverty to persist, and institutional, policy and market failures.
Rhizophora, 2 years after planting, Matang, Malaysia
Teak Line Planting, Java, Indonesia
While the extent of Asia’s environmental problems is obvious, the environment is a particularly difficult area for the Government Policy to be effective. Evaluating the trade-offs and opportunities in environmental management is not easy; and reaching concensus on which trade-off to make is still more difficult. While accounting for more than half the world’s population, Asia-Pacific region covers over a quarter of the world’s land and less than 20% of world’s forests. It has the lowest ratio of forest per person, less than a quarter of a hectare. Therefore, the demand placed upon the forests in the region, for a variety of goods and services, presents a great complexity, as well as scope for development (FAO/RAP, 1998a). 4.1 Forest Cover Details A number of publications provide detailed account of the situation and trend in respect of forest resources in the Asia-Pacific region (FAO 1982, FAO 1995a, FAO 1998a, WRI 1999, UNEP 1999, FAO 2001). Depending upon the definition of forest resource categories, and estimation methods adopted, differences can be noticed in the information provided by different sources. However, they provide an adequate general picture of the situation in terms of magnitude. According to Forest Resource Assessment 2000 (FAO 2001), there is an estimated 3,870 million ha of forest world wide, of which about 95% are natural forests and 5% are forest plantations (Table 2). Forest covers about 1,800 million ha of land in developing countries (FAO 1999a). Of the approximately 1,300 million people living in poverty in developing countries, more than half live in or near these forests. Asia (West, Central, South, South East and East) and Oceania together account for 746 million ha of forests, comprising 626 million ha of natural forests and 120 million ha of forest plantations. (While they overlap considerably, the countries included in Asia and Oceania are somewhat different from those in the Asia-Pacific Region. However, for purposes of this discussion, we can consider them as inter-changeable). Five leading countries account for about two thirds of the forest area in Asia and Oceania. There exists an
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Sustainable Management of Tropical Forests – Private Sector Experiences even greater concentration in respect of forest plantations. While Asia accounts for 62% of the total forest plantations in the world, half of it is found in four countries – China (24%), India (18%), Indonesia (5%) and Thailand (3%). In terms of wood and biomass volume, the average for Asia is 63 cum/ha and 82 t/ha and for Oceania 55 cum/ha and 64t/ha, against the global average of 100 cum/ha and 109 t/ha, respectively (FAO 2001d). Table 2. Regional distribution of forest area, 2000
Region
Asia Oceania Asia-Oceania World
Land Area (Million ha) 3,085 849 3,934 13,064
Total Forest (Natural Forests & Plantations) Area*
% of Land Area
% of World’s Forests
548 198 746 3,870
18 23 19 30
14 5 19 100
Natural Forest (Million ha)
Plantation Forest (Million ha)**
Forest Area Per capita (ha)
432 194 626 3,682
116 4 120 187
0.15 6.58 0.20 0.65
Source: FAO (2001d) * The forest area figures do not include “other wooded land”. For defining forest, Forest Resources Assessment 2000 adopted a threshold of 10 % minimum crown cover, and the definition includes both natural forests and plantation forests. Of the total forest area in Asia and Oceania, about 58 % is covered by tropical forests and the rest by temperate / boreal forests. ** Asia’s plantation forest represents 21 % of the region’s total forest and 62 % of the total area of forest plantations in the world.
4.2 Changes in Forest Area During 1980-1990, annual change in natural forest cover in the developing world was –16.3 million ha. After accounting for new forest plantations, the annual change was -13.1, million ha. In the Asia Pacific region, during the same period, there has been an annual loss of 4.3 million ha of natural forest, against an annual addition of 2.7 million ha in the area of forest plantations, resulting in a net loss of 1.6 million ha. The corresponding figures for tropical Asia was 3.8 million ha and 1.5 million ha respectively, resulting in a net annual forest loss of 2.3 million ha (FAO 1995a, 1995b). In the 1990s, the magnitude of the negative change in the area under forests has been somewhat reduced (Table 3). The estimated net annual change in forest area worldwide during the past decade (19902000) was – 9.4 million ha, representing the difference between the estimated rate of depletion of 14.6 million ha and the estimated annual rate of forest area increase of 5.2 million ha2. However, globally, the loss of natural forest cover continues roughly at the same, comparatively high, level over the past 20 years. For the tropical regions of the world the net annual change in forest area during 1990s was –12.3 million ha, the depletion rate being 14.2 million ha and afforestation rate 1.9 million ha (FAO 2001d, FAO 2003a). Forest area changes in Asia and Oceania has shown considerable improvement, particularly due to increased afforestation activity. The study on Asia-Pacific Forestry Sector Outlook (FAO/RAP, 1998a) shows that on a long-term basis, 1961-1994, the annual change in forest and wooded land in the region has been –1.6 million ha. Table 3. Annual gross and net changes in forest area, 1990-2000 (Area: Million ha per year) Region
Forest loss through Forest gain through deforestation afforestation
Tropics Non-tropics World
14.2 0.4 14.6
1.9 3.3 5.2
Net change -12.3 +2.9 -9.4
Source: FAO, (2001d)
2
1.5 million ha of natural forest per year was converted into plantations; and the annual loss/deforestation of natural forest will work out to 16.1 million ha, if the area of nature forest so converted is added to the rate of deforestation.
Sustainable Management of Tropical Forests – Private Sector Experiences The forest area cover change for Asia and Oceania, as reported in Forest Resources Assessment 2000 (FAO 2001d) for the period 1999-2000, is given in Table 4. 4.2.1 Deforestation and Forest Degradation Changes happening to the forest resource are both quantitative (deforestation) and qualitative (degradation) in nature. Table 4. Forest area cover change in Asia and Oceania, 1990-2000
Region
Total Forest 1990 (000 ha)
Total Forest 2000 (000 ha)
Annual Change (000 ha)
Annual Rate of Change ( % )
Asia Oceania Asia-Oceania
551,448 201,271 752,719
547,793 197,623 745,416
-364 -365 -729
-0.07 -0.18 -0.10
Source: FAO, 2001
a. Deforestation The world witnessed accelerated rates of deforestation during the last 50 years. During the 1970s, tropical countries were deforested at an annual rate of 11 million ha. This rate increased by nearly 50 % during the 1980s to about 16.3 million ha, about four times the size of Switzerland. During these two decades, a forest area equal to all of Western Europe has been lost. Worldwide, 18 countries have lost more than 95% of their forests and another 11 have lost 90%. The Amazon, Southeast Asia, and Southern and Central Africa account for 80% of world deforestation (FAO 1995). According to FAO (1999a), deforestation was concentrated in the developing world, which have lost around 300 million ha since 1980. Sixteen countries3 in the Asia-Pacific region lost some 66 million hectares of forest during the period 19761995 (FAO/RAP 1998a). Eventhough the rate of afforestation has increased in the 1990s, the rate of deforestation per se in Asia has not shown much change and remains at about 2.6 million ha per year (FAO 2001b). b. Forest Degradation The change of closed forests into open forests and reduction in the volume of growing stock are indicative of forest degradation (FAO, 1997a). Such degradation takes place due to a lack of adequate protection. It is difficult to recognize the early stages of forest degradation and that causes delay in technical interventions, resulting in further deterioration of forest resources. A significant portion of the remaining forests in the developing world is ecologically in various stages of retrogression. It is difficult to measure the extent of forest degradation. FAO classifies forests with a crown density of over 40% as closed forest. Globally, the area of closed forest now is only 88% of what existed in 1980. Many a closed forests have, over the years, degraded into “other wooded lands”. In Myanmar, for example, only 43% of the total forest area is classified as closed forest. The remainder is open forest, about half of which is affected by shifting cultivation or other forms of degradation. In the Socialist Republic of Vietnam, over 50% of the forest is open. In India, over 53% of the natural forests, regeneration is either absent or inadequate (FAO, 1999a, GOI/MOEF 1999). With respect to the growing stock, it has been estimated that natural forests in 16 tropical countries in Asia had an average stocking of 216 cum/ha during the period 1976-1980, but this has fallen to about 140150 cum/ha by 1990. The biomass and growing stock of wood in the natural forests of India in 1990 was only 93 t/ha and 47 cum/ha respectively. Corresponding figures for 2000 have further fallen to 73 t/ha and 43 cum/ha (FAO 1997a, GOIMOEF 1999, FAO 2001b). Degradation is also evident in forest plantations due to poor site selection, lack of species-site matching, absence of maintenance, and inadequate protection from fire and grazing. The effective (net) area of forest plantations of the Asia-Pacific Region in 1990 was 22.6 million ha, against a gross area of 32.3 million ha – reduction factor being 0.7, indicating potential for improvement in efficiency (FAO, 1995). In some cases, the reduced area was below 50% of the reported area. While there are several cases of 3
Bangladesh, Bhutan, Brunei, Cambodia, India, Indonesia, People’s Democratic Republic of Lao, Malaysia, Myanmar, Nepal, Pakistan, Papua New Guinea, Philippines, Sri Lanka, Thailand and Socialist Republic of Vietnam.
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Sustainable Management of Tropical Forests – Private Sector Experiences successful forest plantations, the general performance of plantations in the developing countries of the AsiaPacific region leaves much to be desired. Apart from poor survival rates, growth rates achieved also are often far below the potential. There is general concern that Asia is changing from a green to a grey continent (UNEP, 1999). c. Impacts of Deforestation and Forest Degradation Impacts of deforestation and forest degradation are experienced in the form of soil erosion and loss of watershed values, loss of soil fertility and capability of nutrient recycling, lowering of productivity and growth, ecological retrogression, erosion of genetic wealth and bio-diversity, loss of forest capital, decline in wildlife, fall in forest and agricultural productivity, unhealthy condition of forests and reduced value of the residual resource. Where deforestation occurs in an unplanned and wasteful manner, the economic losses can be substantial, particularly from the loss of timber and other commercial resources. At subsistence levels, deforestation causes severe hardships and social disruptions for forest-dwelling and forest-dependent people. The ecological imbalance caused due to deforestation and forest degradation leads to other effects such as floods, drought, desertification and disruptions in transportation, hydel power supply, tourism etc. Habitat loss is a major threat to bio-diversity in all types of forests; and risks to the world’s rich array of living species are climbing. Deforestation, which releases carbon from trees, accounts for 20% of the human caused carbon emissions that spur climate change (FAO 2000b). Loss of forest resource endowment causes scarcity for forest goods and services. While the goods (like timber and other products) can be substituted, the forest’s ecological services for a functioning world cannot. This underscores the severe nature of the forest crisis (WCFSD, 1999). d.
Causes of Deforestation and Forest Degradation
i.
Apparent Causes These include planned and unplanned land use changes, uncompensated land transfers (using forest as a land bank), expansion of agricultural farms, encroachments, shifting and subsistence cultivation, illegal and excessive collection of fuel wood and timber, wasteful and unscientific harvesting of wood and nonwood products, revenue fellings, mining and infrastructure development, fire, grazing, storm, air pollution, pests and diseases, and inadequate investment in forest protection. These causes are exacerbated by other causes common to all sectors, such as poverty, unemployment, population pressure, greed and corruption; and, these are expected to put increasing pressure on the world’s forests in the next few decades (FAO 1999b). ii.
Underlying Causes The immediate causes of deforestation and forest degradation are often the symptoms of a much deeper decay. WCFSD (1999) acknowledges that the causes of the crisis have their roots in human institutions and values. The important underlying causes of the crisis include: low awareness about the values of forests, weak policies and low priority, corrupt practices, accounting distortions, hurdles for people’s participation, conflicting roles of the government forest services and narrow vision of interest groups/lobbies. Each of these represent a cluster of related aspects and are indicative of the failure at several levels – policy, institutions, governance, market and morals (Figure 2). iii. Institutional Failure Available evidence makes one to deduce that the mismatch between policy and performance is a major institutional failure. Institutional failure is a situation where in spite of instruments being in place, nothing happens due to lack of implementation. That probably is the situation in the forestry sector of many developing countries.
Sustainable Management of Tropical Forests – Private Sector Experiences
UNSUSTAINABILITY OF FOREST RESOURCE
SOIL EROSIAN AND LOSS OF WATERSHED VALUES
FALL IN PRODUCTIVITY
LOSS OF BIODIVERSITY
LOSS OF FOREST CAPITAL
DECLINE IN WILDLIFE
DEFORESTATION AND FOREST DEGRADATION
FIRE
OVER GRAZING
SHIFTING CULTIVATION
LAND CONVERSION
UNCONTROLLED OVERUSE AND MISUSE
WASTEFUL HARVESTING
WEAKNESSES AND FAILURES OF FOREST MANAGEMENT
LOW AWARNENESS
WEAK POLICIES AND LOW PRIORITY
CORRUPT PRACTIES
ACCOUNTING DISTORTIONS
HURDLES FOR PEOPLE PARTICIPATION
CONFLICTING ROLES OF GOVERNMENT FOREST SERVICE
NARROW VISION OF INTEREST GROUPS/LOBBIES
Figure 2. Flow diagram – Problem tree
As emphasized in the World Bank’s forest policy paper of 1991, “the frontier of development in the forestry sector is not on technology, but on institutional and human cultural capital. Admittedly, technology and technological progress are important, but the desired kinds of technological changes will not take place without an adequate institutional environment”. iv Inefficiency in Forest Resource Use Based on the situation of forest resource endownment and its utilization, the countries of the region can be grouped into 4 categories. • High resource availability and low level of forest industries development (e.g. PNG; Cambodia, Lao) • Low resource availability and high level of forest industries development (e.g. India, Philippines, Thailand) • High resource availability and high level of forest industries development (e.g. Indonesia, Malaysia) • Low resource availability and low level of forest industries development (e.g. Bangladesh, Sri Lanka) Approximately 300 million ha of natural forests and plantations in the Asia-Pacific region are currently used for timber production purposes. About 100 million ha of forests are legally protected and are theoretically off-limits to timber production (i.e. IUCN categories I and II). Another 136 million ha are inaccessible, given current levels of technology and prices, due to steepness of slope, remoteness or poor stocking of currently commercial species (FAO/RAP 1998a). During the last 40-50 years, there has been enormous growth in production and consumption of industrial wood in the Asia-Pacific region. And, demand for the full range of forest goods and services (wood and non-wood products, processed and unprocessed products, traded and untraded goods, and services) are increasing throughout the region. The countries of the Asia-Pacific region produces slightly more than one billion cum of roundwood annually. Fuelwood and wood for charcoal comprise the bulk (74%) of all wood removals in the Asia-Pacific region and, the predominance of fuelwood is likely to continue in the low income countries. Production and trade of processed goods continue to increase. Approximately 70% of all the internationally traded tropical wood products come from the Asia-Pacific region. NWFPs provide substantial contribution in some countries. More that 70% of all forest-based exports from India, for example, are NWFPs. (Yet, management of NWFPs receive inadequate attention).
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Sustainable Management of Tropical Forests – Private Sector Experiences In wood production, the concept of AAC has often been neglected. For example, India’s AAC, based on the net annual increment of growing stock, from all sources (public and private) was only 127 million cum in 1994, but actual production was estimated to be 294 million cum. Similar situations have been noted in several other countries in the region. FAO (1997a) has estimated a net annual drain (i.e. exploitation above net annual increment of growing stock) of some 151 million cum for Asia Pacific region as a whole in 1995, equivalent to 14% of allowable cut. In South Asia, removals were about 50% above net increment; but removals were below incremental growth in continental Southeast Asia and Oceania. Overcutting is, however, more serious than these figures imply, considering that nearly 40% of the net annual increment in the region is in young forest plantations and that the proportion of total production from plantations is comparatively low. Most countries of the region also report high grading, failure to use less commercially desirable species and sizes, damage to residual trees, low level of fees/charges, and inadequate protection and maintenance. Further, unrecorded/illegal wood removals also happen routinely in several cases; and, as they come in sizable quantities into the product processing and consumption streams, inefficiency is encouraged (ITTO, 2001). v.
Some Linked Issues Asia-Pacific region as a whole, is a net importer of forest products. In the mid 1990s, the region imported some US$ 18 billion worth of products more than it exported. In addition to the inflow of processed forest products, the Asia-Pacific region imports increasing volumes of industrial roundwood from outside the region. For many decades, Japan and the Republic of Korea were major importers of tropical roundwood until log-export bans in much of Asia cut off supplies. A more recent phenomenon is the harvesting of timber in tropical developing countries (of Asia and other regions) by TNCs of Asian origin – mainly from Malaysia and Indonesia. Access to substantial sources of foreign log supply is buffering the region’s private industry from reality. The reality seems to be the urgent need for energetic adoption of sustainable management practices, and for heavy investment in forest plantations. The operation of concessions under low environmental standards will be doing a major disservice to Asia-Pacific forestry in the long-run (FAO, 1997d). A controversial issue in South Pacific forestry is the influence of overseas interests, particularly in PNG, Solomon Islands and Vanuatu. Apart from claims that logging is beyond sustainable limits, the main criticisms are that the concession holders do not pay a fair price for the timber; and that they do not invest in further in-country processing (FAO 1997e). vi. Inadequate Investment in Sustainable Forestry UNCED Agenda 21, Chapter 11 and Forest Principles underline the urgent need and importance of new and additional financial resources for SFM in developing countries. Financing is required for short, medium or long term activities, consumption, current production or for investment. When applied to forestry, investment covers the cost of the creation, management and conservation of forest resources for its many and diverse social, economic and environmental benefits and developing facilities for production and marketing of forest products and services. Investment is required on a continuing basis to serve the purpose of replenishing/rehabilitating the capital and for new capital formation. While investment refers to real capital formation, disinvestment signifies negative investment, resulting from the destruction or depletion of capital stock through consumption. Investment becomes real only where gross investment is greater than disinvestment, resulting in a positive net investment. Deforestation, whether planned or unplanned, leading to destruction of forest capital is a case of disinvestment. Governments and forest owners often consider forest as a revenue source, and as a land bank to support development of agriculture, irrigation, hydel power and so on, leading to increasing rate of deforestation and disinvestment. In the early 1990s, the overall estimated gross annual investment in forestry and forest industry, in the developing countries, was approximately US$ 20.4 billion. Against this, the annual disinvestment through loss and degradation of forests was of the order of US$ 45 billion, resulting in a net negative investment of US$ 24.6
Sustainable Management of Tropical Forests – Private Sector Experiences billion, while the estimated annual requirement of net investment in forestry during the same period was US$ 33.3 billion (UN-CSD, 1996). Correspondingly, the estimated gross annual investment in the developing countries of Asia Pacific region was about US$ 7 billion. With an annual disinvestment of some US$ 13 billion, it resulted in a net negative investment of about US$ 6 billion, while the estimated requirement of annual net investment in forestry was about US$ 11.8 billion. These negative measures would be higher if social costs from environmental hazards and loss of biodiversity were added (Chandrasekharan, 1996). The gap in annual investment for sustainable forestry development in developing countries during early 1990s was about US$ 50 billion globally, and about US$ 18 billion in the Asia-Pacific region. The seriousness of the situation multiplies several fold if one considers that this has been a regular feature of forestry over the past several years. 4.3 Logging Bans in Natural Forests In order to address the rampant deforestation and environmental deterioration, a number of countries in the AsiaPacific region, over the past 15 to 20 years, have completely or partially banned logging in natural forests (FAO 2001b). Several of these countries used logging bans successfully to conserve natural forests and to obtain a larger portion of their wood supply from tree plantations and agro-forestry; but other countries largely failed. Since logging bans imply a trade-off between economic and environmental aspirations, success depended on ensuring availability of alternative sources of wood. It is easy to ban logging; but much more difficult to protect forests and develop sustainable alternative timber sources. In some countries logging is reported to continue illegally, and perhaps even more destructively than in the past (FAO/RAP, 2001). Philippines and Thailand imposed logging bans after loggers and farmers had already depleted most of the commercial timber resources. Legal timber harvesting declined notably in the 1990s, partly due to the logging bans, but also because there was not much left to harvest. Thailand was more successful than Philippines at curbing deforestation and illegal logging. Yet, forest clearing for agriculture continues in both countries and logging bans are unable to solve that problem. Only a small portion of these two countries’ wood supply comes from plantations. In 1998, China banned logging in 42 million ha of forest and employed special police to enforce the policy. Government compensation programme provided assistance to large numbers of workers who lost their jobs in the process. Officials expect timber harvests from natural forest to decline from 32 million cum in 1997 to 12 million cum in 2003. The Chinese authorities hope that in the medium-run their 34 million ha of tree plantations will make up most of the difference. However, it is too soon to know whether they can pull it off. Sometimes, restricting logging in one country simply transfers the problem to other countries. China, Philippines, Thailand, and Vietnam all greatly increased their forest product imports after they restricted logging. This fuelled illegal logging and destructive timber harvesting in neighboring countries such as Cambodia, Indonesia, Laos, Myanmar, and even Russia. 4.4 New Priority for Plantation Forestry The emerging situation of restrictions and reduced availability of natural forests for timber production, have resulted in a new emphasis on forest plantations, land rehabilitation programmes and trees in farming systems. About 60% of all plantations in the Asia-Pacific region are now for the production of industrial wood. The trend towards non-industrial plantations, the proportion of which had accounted for 60% of planting in 1980 and 64% in 1990, appeared to have been reversed and fallen to 38% in 1995. Hardwood species comprise about 56% of the forest plantations in the region, with Eucalyptus being the leading genera (nearly 4.5 million ha, or 18% of the hardwood plantation area). Over three-quarters of all Eucalyptus plantations are in India, followed by Vietnam (11%) and the People’s Republic of China (7%). The net area of teak plantations is 2.1 million ha, with most of it being in India, Indonesia, Myanmar and Thailand. Other important hardwood species include Dalbergia sissoo, Acacia mangium, Gmelina arborea and Swietenia macrophylla. Throughout the region, many fuelwood plantations have been established. Some of these, however, will likely be diverted to other end-uses as fuelwood consumption falls and alternative end-uses prove more profitable (FAO 2000).
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Sustainable Management of Tropical Forests – Private Sector Experiences There is much scope for improving the yields from plantations. Minimum gains of 15 to 20% due to tree improvement should be considered normal. Unfortunately, this aspect of plantation forestry has received little attention and most plantation programmes are still using unimproved planting materials. Plantation management also suffers from a lack of silvicultural tending. Unfortunately, the wood industry faces a difficult situation due to declining profitability of forests (as a result of lower prices for timber). Thus, there is little motivation for forest owners to invest in silvicultural treatments. This may eventually reduce the quality of the wood stock, although it may not compromise the usefulness of forests for nature-tourism and recreation that are now being given increasing priority. Indeed, a desire to improve the “naturalness” of forests is among the motive factors for establishing “multi-storied plantations” (FAO 1999a, FAO 2000). 4.4.1 Trees Outside Forests While large scale forestry has been undertaken by governments and private enterprises, rural people have been practising small scale forestry on their farms, homesteads and community lands, primarily to meet household requirements for fuel, poles, timber and medicines. Different combinations of agro-silvo-pastoral systems are used by rural people. With the current emphasis on social forestry, a promotional drive has been launched in many countries to encourage tree planting on wasteland, institutional land and non-forest (public and private) land. In Bangladesh, trees outside forests, primarily on homesteads, cover an area of about one million ha and supply about 5 million cum of wood (60-70% of the country’s wood production) and 80% of all bamboo produced. Some of the best household plots in Bangladesh are intensively managed and carry a growing stock of about 200 cum per ha with a 10 cum MAI. Successive evaluations carried out in 1981 and 1992 indicated that these sources are sustainably managed. In India, village woodlots, windbelts and shelterbelts, agro-forestry and farm forestry plots and small block and line plantations currently cover over 6 million ha. In addition to these, there are also other sources of wood from trees outside the forest including rubber, coconut, cashew, mango and other estate crops. These sources together produce about 50% of India’s wood supply and probably an equal or larger share of India’s NWFPs. There are also many small private nurseries meeting the local demand for tree seedlings. Even in a forest-rich country like Indonesia, some 20% of the wood consumed comes from trees outside the forest, and this proportion is expected to increase. In Java, some 60% of fuelwood consumed in rural areas comes from such sources. Some 120 to 150 million households in the Asia-Pacific region are involved in developing forest resources outside forest areas; and they form an emerging group of partners in SFM. Additionally, the region possesses most of the world’s 14 to 16 million ha of rubber and coconut plantations, both of which are becoming increasingly important as sources of wood (FAO/RAP 1998a). 4.4.2 Community Based Forest Management It has been widely argued that rural people over-use, and hence degrade and destroy forest resources, because they are poor and have no viable alternative; and that this progressive erosion of the forest resource contributes to their becoming even poorer. This downward spiral can only be prevented, according to this argument, if the poor are provided with more attractive livelihood options so that they move away from the destructive use of the forests (Arnold, 2001). Community-based forest management involving participatory management of forests, small holder and communal tree growing and processing, and trading of forest products are seen as viable alternatives. With their back against the wall, some countries have initiated CBFM programmes as a means of alleviating the crisis in forestry. 4.5 Management for Efficient Use Forest management objectives are dependent on the nature of forest resources, development priorities and societal demands. Objectives tend to be more diverse for natural forests, but they are also significant for forest plantations. Existence of a forest management system (and formal management plans) indicates an apparent commitment to work towards SFM. Globally, 80% of forests in the industrialized countries are being
Sustainable Management of Tropical Forests – Private Sector Experiences managed according to formal or informal “management plans”, compared to only less than 10% in developing countries (FAO 2001a, FAO 2001b). The forests under concession agreements in Asia Pacific region are nominally under management. However, only a fraction of the forests are actively and effectively managed, leading to misuse and overuse. Given that many forests are not under formal management, responsibility for their protection from fires, diseases and pests is unclear and receives only scant attention. In the forest-rich developing countries of the humid tropics, most natural forests are managed at varying degrees of intensity for timber production, under selective cutting systems – the aim being to allow harvesting of some specified (and safe) quantity of timber, while maintaining forest cover for protection and regeneration. Under these systems, the volume and type of trees to be harvested are regulated as AAC, such that removals do not exceed growth increments and the productive capacity of the forest is maintained. In many cases, however, this principle is not practiced. The focus of plantation management is on production of wood, using only a few selected species. They are often susceptible to pests and diseases, soil degradation, and similar environmental problems; and require large investments. They have potential for high volume increment. However, the growth and yield of plantations in the developing countries of the region leaves much to be desired. Apart from poor survival rates, growth rates achieved are, often, far below the potential. Some of the natural forests are set apart, in all countries, as PAs. Management of the PAs are of variable standards in the region. Many PAs lack adequate management plans and resources. An emerging phenomenon in some areas is the growth of eco-tourism; but adequate capacity to manage eco-tourism in forest areas does not exist in most developing countries of the region. 4.6 Outlook and Potential The Asia Pacific Forestry Sector Outlook Study (FAO/RAP,1998a), estimates that the potential for roundwood production in the region is about 2.4 billion cum (against a recorded/estimated consumption of about 1.1 billion cum), comprising 464 million cum of logs, 187 million cum of non-wood fiber and 1,764 million cum of pulpwood and fuelwood, originating from diverse sources such as natural forests, plantations, non-forest sources and residues, non-wood fiber and recycled materials (in wood equivalent). If sustainably and efficiently managed, and used, these sources will be able to support the future demand. The current production of sawlogs from forest sources, however, is close to potential availability and the situation calls for serious efforts for increasing efficiency in management and utilisation of the sawlog resource. The Outlook Study (FAO/RAP 1998a) has further identified a number of central themes that are likely to dictate the near and medium term future of forestry and the route towards SFM. • • • • • • • • • • • •
Continuous increase in the demand for a broad range of forest products and services. Increased attention to multiple roles of forests. Physical and regulatory restrictions on forest resource use. Shortage of large logs and possible responses in the processing sector. Increasing importance of high yielding forest plantations (and use of genetically modified trees, suitable for specific purposes). Emergence or a number of non-traditional producers of forest products. Extensive use of recycled and non-wood fiber in pulp and paper industry. Emergence of nature tourism as a growing segment of tourism, having differing impacts on forests. Demand for incorporating ethical and equity considerations in forest policy and action plans. Industry-community partnerships. Increased attention to research and development. Pressure for implementing SFM in the context of gaining/retaining access to key markets.
4.7 Other Relevant Aspects of Regional Forestry Other common aspects to be flagged, relating to the situation of forestry in the Asia-Pacific Region are the following:
221
222
Sustainable Management of Tropical Forests – Private Sector Experiences • General weaknesses/inadequacies of institutions and institutional instruments – i.e. policies, legislation, organizational structure, plans and programmes, R&D and M&E systems. • Tenurial uncertainties and conflicts, particularly regarding the rights of indigenous communities. • Lack of strategies for managing the increasing extent of degraded and secondary forests. • Chronic shortage of funds for forestry activities; dependence on donor assistance; and lack of investment in technology development. • Lack of information (and knowledge) about global hot topics such as impact of climate change on forests, CDM, carbon management (sequestration, conservation and substitution) strategies, biodiversity resources and so on, at the relevant local levels. • Widening gaps in SFM and narrowing options to address them. 5.0
PROFILES OF ITTO PRODUCER MEMBER COUNTRIES IN THE REGION
Transportation Hazards, WGT, PNG
Logging Road Maintenance, PT Inhutani II (Malinau), Indonesia
5.1 Introduction There are ten ITTO producer member countries in the Asia-Pacific region namely: Cambodia, Fiji, India, Indonesia, Malaysia, Myanmar, Papua New Guinea, Philippines, Thailand and Vanuatu. The situation in these countries varies considerably in many of the aspects relating to forestry, such as: resource endownment, forest ownership, management systems and capability, forest-based processing and utilization, trade in forest products and institutional arrangements. While Cambodia, Indonesia, Malaysia, Myanmar and PNG are producers and exporters of tropical wood and wood products, India, Philippines and Thailand have suffered heavy resource loss during the last 4 or 5 decades and have become net importers of wood and wood products. Fiji and Vanuatu have an acceptable percentage of land under forests, but being small and fragile island ecosystems, sustainable management of the forest resource is particularly important for these countries. While these variations and specificities are dictated by their history, demography, political system and geographic location, the countries also share a number of common issues linked to the involvement of private sector in forest resource management and deficiencies in public forest administration. These, among others, include: unscientific management (harvesting outside of AAC, specified species, size classes and allotted area); lack of appropriate landscape management; illegal activities; concealed subsidies, inadequate rent capture; inadequate backward and forward linkages; distortion of people-forest relationships; avoidance of social obligations; unconcern for nature and undue concern for monetary benefits; maximising of private benefit inflicting avoidable cost to society. 5.2 Socio-Economic Background As much as there is difference in the area of the 10 countries (India having 297.3 million ha of land and a population of over a billion, and Vanuatu with 1.2 million ha of land and a population of 186,000), there is variation in the population density among the countries – India having 335.7 persons per square kilometer at the high end and PNG having only 10.4 persons for square kilometer at the low end. India, Philippines, Thailand and Indonesia in that order have a population density of over 100 persons per square kilometer. The first three countries have badly depleted their natural forest resources, and Indonesia is already showing symptoms of serious pressure on its forest land.
Sustainable Management of Tropical Forests – Private Sector Experiences 5.2.1 Rural Population All the 10 countries are dominated by communities dependent on agriculture (hence on land), eventhough the level of dependence varies. In all the countries, except Malaysia and Philippines, more than half of the population lives in rural areas. Rural population accounts for 83% of the total population in PNG. Pressure on land (i.e. on terrestrial resources), along with the socio-economic and development indices, to some extent, provides an indication of the state of forest resources in the country and the constraints to which they are subjected to. 5.2.2 Per Capita GNP Malaysia, Thailand, Fiji and Vanuatu have higher GNP per capita, with Malaysia far ahead of others. The better performance of economy is also seen reflected, for example, in life expectancy at birth, and public expenditure on education. Only 3 countries among the 10, have population below poverty line, with income less than one US dollar per day at 1993 PPP – i.e, India, Indonesia and Thailand (UNDP 2001). Two countries, Cambodia and PNG have a comparatively high percentage of ODA (received in 1999) as percentage of GDP – 8.9% and 6.0% respectively. Net FDI as percentage of GDP in 1999 has been the highest in PNG with 8.3%, followed by Thailand, Cambodia and Malaysia. 5.5.3 Human Development Index The Human Development Index which measures the overall achievement in a country in three basic dimensions of human development – longevity of life, knowledge and a decent standard of living (reflected in adjusted income per capita in PPP), has been the highest in Malaysia, closely followed by Thailand, Fiji and Philippines. The lowest HDI in 1999 among the 10 countries was in PNG (Table 5). Resource availability alone may not guarantee human development. 5.3
Forest Resource Endowment
5.3.1 Area Under Forest Among the ITTO-PMCs in the Asia-Pacific, six countries (Cambodia, Fiji, Indonesia, Malaysia, Myanmar and PNG) have more than 40% of their land under forest. Forestry in these countries have a high share in GDP and trade. Forestry in PNG, Indonesia and Malaysia have a share of over 10% in GDP. In Cambodia, forest products have a share of 43% in merchandise trade, followed by Myanmar (35%), Fiji (13%) and Indonesia(12%). Countries such as Cambodia, Indonesia, Malaysia, Myanmar and PNG have considerable forest resource endowment and have already developed, or have the potential to further develop, significant forest industries. These countries will have a particularly important role, in the future of forestry in the region (Table 6). While Indonesia has the largest extent of forest in absolute terms, Malaysia is in the lead in respect of crop condition represented by growing stock volume and quantity of above ground biomass. It may be noted that while the volume of GS is partly dependent on the type of forest and land involved, in most part it results from the quality of forest management. Among the ten ITTO-PMCs in the region, Philippines, India and Thailand have the lowest percentage of land under forest (and also the lowest per capita availability of forest land). Thailand’s forests have also undergone considerable degradation. 5.3.2 Forest Plantation Development Some of the above countries have a long history of raising forest plantations (e.g.: India, Indonesia and Thailand). For some others, raising forest plantation is a recent development. Plantations account for 50.8% of India’s forests. 33% of Thailands’ forests are plantations. Countries with low forest cover tend to have a higher percentage of its forests under plantations. In the country with largest percentage of land under forest, namely PNG, plantations account only for 0.3 % (Table 7 and Figure 3).
223
Land area 000 ha
17,652 1,827 297,319 181,157 32,855 65,755 45,239 29,817 51,089 1,218
Country
Cambodia Fiji India Indonesia Malaysia Myanmar PNG Philippines Thailand Vanautu
10,945 806 998,056 209,255 21,830 45,059 4,702 74,454 60,856 186
Total (000)
4
62.0 44.1 335.7 115.5 66.4 68.5 10.4 249.7 119.1 15.3
77.2 58.1 71.9 60.8 43.5 72.7 82.9 42.3 78.8 80.1
Rural Population Per Sq. % Km
1999 Population
3
* 2001 Source : FAO 2001d; UNDP 2001; ADB 2003
2
1
303 2,340 392 1,096 4,469 NA 931 1,170 2,821 1,315
GNP per capita (1997) US$
5
1,361 4,799 2,248 2,857 8,209 1,027 2,367 3,805 6,132 NA
1999 GDP per capita PPP US$
6
4.5 4.4 4.4 3.7 4.2 11.1* -0.5 4.6 5.2 -0.3
Total GDP
8
9
10
11
12
13
2.0 3.9 2.6 2.2 2.1 9.1* -3.6 2.4 4.1 -2.5
0.541 0.757 0.571 0.677 0.774 0.551 0.534 0.749 0.757 NA
56.4 68.8 62.9 65.8 72.2 56.0 56.2 69.0 69.9 NA
44.2 7.7 2.0 NA
2.9 6.0 3.2 1.4 4.9 1.2 NA 3.4 4.8 NA
8.9 1.9 0.3 1.5 0.2 NA 6.0 0.9 0.8 NA
4.0 -1.9 0.5 -1.9 2.0 NA 8.3 0.7 5.0 NA
Population Public eduODA Net foreign Human Life below poverty cation received investment Development expectancy line (less than expenditure in1999 as flows as % index at birth Per Capita US$1 per day at as % of GNP % of of GDP, 1999 (years) GDP 1993 PPP)% (1995-1997) GDP 1999
GDP Growth 2002 Percentage
7
Table 5. Socio-Economic Indicators of ITTO Producer Member Countries in the Asia Pacific Region
224 Sustainable Management of Tropical Forests – Private Sector Experiences
Sustainable Management of Tropical Forests – Private Sector Experiences Table 6. Forestry situation in the producing member countries of ITTO in the Asia-Pacific region, year 2000
Country
Cambodia Fiji India Indonesia Malaysia Myanmar PNG Philippines Thailand Vanuatu
Land Area (000 ha) 17,652 1,827 297,319 181,157 32,855 65,755 45,239 29,817 51,089 1,218
Natural Plantation Forest Forest (000 ha) (000 ha) 9,245 718 31,535 95,116 17,543 33,598 30,511 5,036 9,842 444
Growing Stock Forest as Forest Volume and above percentage area per ground biomass of land area capita (ha) Cum/ha t/ha
Total Forest (000 ha)
90 97 32,578 9,871 1,750 821 90 753 4,920 3
9,335 815 64,113 104,986 19,292 34,419 30,601 5,789 14,762 447
52.9 44.6 21.6 58.0 58.7 52.3 67.6 19.4 28.9 36.7
0.9 1.0 0.1 0.5 0.9 0.8 6.5 0.1 0.2 2.4
40 43 79 119 33 34 66 17 -
69 73 136 205 57 58 114 29 -
Source: FAO 2001, Forest Resources Assessment 2000.
Table 7. Forest plantation area in ITTO producer member countries in the Asia-Pacific region, 2000 (000 ha) Country Cambodia Fiji India Indonesia Malaysia Myanmar Papua New Guinea Philippines Thailand Vanautu
2000
1990-2000 Annual rate of increase in plantation Area
90 97 32,578 9,871 1,750 821 90 753 4,920 3
3 9 1,509 271 35 37 4 30 225 1
Source: FAO 2001. Global Forest Resources Assessment 2000, Main Report, FAO Forestry Paper 140, Rome. FAO 1995. Forest Resources Assessment 1990, Global Synthesis. FAO Forestry Paper 124. Rome. 35000 30000 25000 1980
20000
1990 15000
2000
10000 5000
tu d an Th
ail
Va n
au
a Ph
ilip
pin
Gu
es
ine
r ma Pa
pu
aN
My
ew
an
lay Ma
on
es
ia
sia
ia Ind
ia
Ind
Fij
od mb Ca
i
0
Figure 3. Details of forest plantation area in ITTO producer member countries in the Asia-Pacific region, 1980 – 2000
5.3.3 Forest Cover change In the Asia-Pacific region as a whole, the net forest cover change during 1990-2000 was low due to creation of large areas of plantations in China and India. Five countries in the Asia-Pacific Region – namely Bangladesh, China, India, Vanuatu and Vietnam (along with some countries in west and central Asia), interestingly, have shown positive change in the forest cover during 1990-2000. This was made possible by extensive and intensive efforts in tree planting with people’s participation. Among the ten ITTO- PMCs in the Asia-Pacific Region, Myanmar, Philippines, Indonesia and Malaysia have shown a negative annual rate of forest cover change of over 1%. Forest cover details of ITTO-PMCs in the Asia-Pacific Region are shown in Table 8 and Figure 4.
225
Sustainable Management of Tropical Forests – Private Sector Experiences Table 8. Change in forest (Natural forests and plantations) cover in ITTO producer member countries in the AsiaPacific region, 1999 – 2000 (000ha) 1990-2000 Area change in total forest (000 ha/yr)
Country
1990
2000
Cambodia Fiji India Indonesia Malaysia Myanmar Papua New Guinea Philippines Thailand Vanautu
9,896 832 63,732 118,110 21,661 39,588 31,730 6,676 15,886 441
9,335 815 64,113 104,986 19,292 34,419 30,601 5,789 14,762 447
-56 -2 38 -1,312 -237 -517 -113 -89 -112 1
Rate of area change (%) 1990-2000 -0.6 -0.2 +0.1 -1.2 -1.2 -1.4 -0.4 -1.4 -0.7 +0.1
Source: FAO:2001: Global Forest Resources Assessment 2000, Main Report FAO Forestry Paper 140, Rome. 140000 120000 100000 80000
1990 2000
60000 40000 20000
Va na utu
Th ail an d
Gu ine a Ph ilip pin es
My an ma r
Pa pu aN ew
Ma lay sia
Ind on es ia
i Fij
Ind ia
0 Ca mb od ia
226
Figure 4. Details of forest cover in ITTO producer member countries in the Asia-Pacific region
5.34 Arrangements for Forest Management Among the ITTO-PMCs in the Region, there are variations in the way the forests are managed. In India, Peninsular Malaysia, Myanmar, Fiji and partly in Thailand, the country’s forests are divided into Forest Districts/Divisions (and further into Forests Working Circles and Compartments), for purposes of forest management (distinct from public forest administration, eventhough management and administration are closely linked). The Forest Divisions are managed on the basis of Forest Working Plans which are periodically revised and updated. In other countries (eg. Indonesia, PNG, Cambodia) the responsibility for forest management is entrusted to forest concessionaires who are awarded the right to harvest specified area of forest, for a specified duration of time. As mentioned earlier, all the forest areas are not properly managed based on approved Forest Working Plans. In Malaysia 73% of the forest areas are under proper management; it is 72% in India, whereas only 17% of the forest areas are covered by working plans in PNG (FAO 2001a, FAO 2001b). Also see Table 9. All the countries are in agreement regarding the need for C & I for SFM, and have indicated acceptance of ITTO’s guidelines in that regard. In countries, which are involved in production of timber and forest products for export through ‘concession system’, some of the exporters have volunteered for certification/eco-labelling. Indonesia and Malaysia have established national level institutions in that regard.
Kamusie logging camp, WGT, PNG
Sembuak community hall, PT Inhutani II (Malinau), Indonesia
Sustainable Management of Tropical Forests – Private Sector Experiences 5.4
Conservation Aspects
5.4.1 Endangered Species All the ITTO-PMCs of Asia have established PAs for conserving ecosystems, biodiversity, wildlife, watershed values, scenic sites and natural heritage. During the last one or two decades, as a measure to counter the trend of illegal activities and deforestation and to limit the environmental impacts of forest exploitation, there have been efforts to set apart and constitute more areas as PAs. Almost a quarter of the forests are so set apart in Cambodia and Thailand. Myanmar has assigned only 5% of the forest as PAs. Endangered condition of species (as monitored by IUCN) is, often, used to judge the condition of the natural environment and the need to undertake conservation measures, including establishment of PAs. According to FAO (2001d), there are 966 endangered species in Malaysia and 762 in Indonesia under seven (7) species groups. Of these endangered species 481 and 295 species respectively are endemic. Shorea bentongensis, a Dipterocarpaceae in Peninsular Malaysia is endangered, since it is slow grown and cannot withstand logging. Gonystylus bancanus, a Thymelaeaceae in Brunei, Indonesia and Malaysia is another important tree species which is very vulnerable. 5.4.2 Ecological Zonation The number of endangered species is not an indicator of comparative efficiency in conservation measures per se, since it is also a function of the species richness of the ecological zones involved. The countries with high percentage of TRF seem to have high species diversity and hence higher number of endangered species. Malaysia, having the highest number of endangered species has also the highest percentage (94%) of area under TRF. Cambodia with lowest percentage of TRF and highest percentage of Tropical Dry Zone (77%) has the smallest number of endangered species (Table 9). 5.4.3 CO2 Emission CO2 emission is taken as a measure of the level of atmospheric pollution. In discussions on atmospheric pollution and climate change, the role of forests in carbon management often comes up, eventhough Forest Management for Carbon Management is still only a subject of debate. Malaysia, as the country with the highest per capita income among the ITTO-PMCs of the region, also leads in carbon emission with 6.2 mt per capita per year, followed by Thailand with 3.5 mt per capita per year. 5.5 Wood Production and Trade Total wood production is a function of several factors such as demand, market price, availability of forest resource and trading facilities. Area harvested, annually, depends on the system of resource management and productivity. In the year 2000, India harvested an area of 3,011,000 ha (including farm forests and forest plantations) to produce 319,498,000 cum of wood (giving an average of 106 cum/ha), whereas Indonesia harvested 1,840,000 ha to produce 120,339,000 cum (giving an average of 65 cum/ha) and Malaysia’s harvest of 26,426,000 cum was obtained from an area of 520,000 ha, giving an average of 51 cum/ha (FAO 2001d, FAO 2003a). The share of industrial wood in the total wood harvest in a country depends on the level of forest-based industrialization, log exports, and dependence on fuelwood for meeting local energy needs. While industrial wood production in Cambodia in 2000 accounted only for 7.4% of total production, the corresponding figure for Fiji was 92.3%; it was 6.9% for India, 26.0% for Indonesia, 87.3% for Malaysia, 15.6% for Myanmar, 35.6% for PNG, 21.6% for Philippines, 12.3% for Thailand and 30.5% for Vanuatu (FAO, 2003c). Fuel wood accounts for the major portion of wood production for the countries being discussed, except Fiji and Malaysia (Table 10). Avoidable wastages in logging is an issue. It is complicated by the issue of inadequate capture of rent (levies and charges) on the wood harvested. Logging is fully mechanized in the major log producing countries, whereas it is mostly done manually (in some cases using elephants or draught animals) in countries such as India and Myanmar. RIL is being implemented only by a few operators, mainly those who are interested to have the FMU, and export-oriented production, certified.
227
228
Sustainable Management of Tropical Forests – Private Sector Experiences 5.5.1 Wood Processing Indonesia’s intake of wood raw material for processing is the highest among the ITTO-PMCs of the AsiaPacific Region, followed by Malaysia, India, Thailand and Philippines. Among these India, Philippines and Thailand were the earlier ones to establish wood processing industries in the region. They are also the ones which almost liquidated their natural forest resources, in that process. Most of the wood industries in these countries are now being run with plantation wood, supplemented by imported wood. 5.5.2 Trade Among the ten ITTO-PMCs of the Asia-Pacific Region, three countries namely India, Philippines and Thailand, in 2000, were net importers of wood and wood products while others were net exporters with Indonesia and Malaysia dominating the scene (Table 10). 5.6 Forest Concessions 5.6.1 Commercial Forest Concessions Except for India, Myanmar and Fiji, the ITTO-PMCs of the Asia-Pacific region (Cambodia, Indonesia, Malaysia, Philippines, PNG, Thailand and Vanuatu) had followed the system of forest concessions for varying length of time and with varying results4. Thailand closed its forest concessions some years after they were introduced; Cambodia has suspended the concessions recently for an indepth evaluation; Philippines is phasing out the remaining concessions to eliminate them completely by 2011. The concessionaires in Malaysia and Indonesia are increasingly being urged to have the FMUs certified by the certification bodies. In PNG, the concession companies, particularly the expatriate companies, are coming under considerable scrutiny by International agencies, NGOs and the government agencies. 5.6.2 Conservation Concessions Forest concessions all over the world have increasingly been blamed for exploiting the forest in an unsustainable manner and for neglecting the principles of forest conservation. The idea of “conservation concessions” developed by Conservation International, a Washington-based International NGO is meant as a means to manage the concessions under principles of equity and sustainability and for supporting regular sources of income for the local people. Peru established the world’s first formal conservation concession called “Los Amigos” in July 2001. Its 40 year lease covers 130,000 ha of tropical forest. Conservation International has also been negotiating with the Governments of Guatemala, Guyana, Vietnam and Indonesia to establish comparable concessions in those countries. A conservation concession in Sumatera, Indonesia is known to be getting close to signing of the concession agreement. 5.7
Country Profiles
5.7.1 Cambodia The developments leading to the current situation of forestry in Cambodia can be divided into four phases: Prior to 1970 1970 – 1979 1979 – 1990 1990 onwards
: Good conservation–oriented forest management. : Civil war; neglect of forestry. : Changes in forest administration; Provincial authorities controlled forest utilization. : Reforms and programmes to rehabilitate and develop forestry in Cambodia.
As Cambodia emerged from decades of war, and beginning from the early 1990s, the United Nation Temporary Authority for Cambodia (UNTAC) enabled the country to embrace democracy and open market economy. Foreign investments started streaming into Cambodia since 1993, notably from Thailand, Taiwan, Malaysia, Singapore and China. 4
India and Myanmar had for long adopted a system of “Departmental Working” with contract logging for managing the reserved forests, under the provisions of approved Working Plans. This system has become rather loose in the recent past.
9,335 815 64,113 104,986 19,292 34,419 30,601 5,789 14,762 447
72% 73 17 120 -
ITTO ITTO ITTO ITTO ITTO ITTO ITTO ITTO ITTO ITTO
Which C & I for SFM followed ? 72/FSC 55/FSC 4/FSC 15/FSC -
Forest area certified (000 ha) 75 3,011 1,840 520 411 178 31 15 -
24 8 16 9 5 17 7 23 -
80 110 494 762 966 139 323 447 195 31
2 83 173 295 481 6 181 315 11 19
Average Endangered Endangered Forest area harspecies in “country area in vested seven endemic” PAs (000 ha / groups* species (%) year) (number) (number)
* The seven species groups are: amphibians, birds, ferns, mammals, palms, reptiles, trees. TRF: Tropical Rain Forest; TM: Tropical Moist Forest; TD: Tropical Dry Forest; TS: Tropical Shrub, M: Mountain Source: FAO 2001; UNDP 2001
Cambodia Fiji India Indonesia Malaysia Myanmar Papua New Guinea Philippines Thailand Vanautu
Country
Are under Total forest forest in 2000 management (000 ha) plans (%) 7 13 88 94 35 80 81 23 -
TRF 16 11 2 37 4 10 21 -
TM 77 56 4 5 54 -
TD 9 1 -
TS 11 9 6 24 11 9 2 -
M
Distribution of total forest by ecozones (%)
Table 9. Forest management and environmental Information on ITTO producer member countries, 2000
1.0 1.1 1.2 6.2 0.2 0.5 1.0 3.5 -
CO2 emission, 1997 (mt per capita)
Sustainable Management of Tropical Forests – Private Sector Experiences 229
2000
37,494 17,375
37,609 23,447
Philippines
Thailand
131
39
3,093
4,928
2,655
809 (179) 449 (199) 22,188 (16,500) 31,358 (24,861) 23,080 (21,442) 3,574 (2,299) 3,064 (3,064) 3,760 (375) 2,894 (46) 40 (40)
2000
Sannwood (000 cum) 18
294
128
218
343
5,740
2,427
7,900
72
3
Panal products (000 cum) -
1,327
458
15
15
5,895
8,425
421
12
72
Wood pulp (000 t) -
764
175
-
-
123
3,626
1,590
-
-
Round wood (000 cum) 1
-
-
1,902
949
6,845
1,504
-
-
-
Sannwood (000 cum) 10
311
120
20
155
2,419
2,023
6
17
30
-
832
16
12
13
4,645
6,360
14
7
137
Panal products (000 cum) Wood Pulp (000 t) -
250
-
-
-
-
1,361
16
-
-
-
714
562
-
-
758
201
2,100
-
-
1
1,135
359
-
-
500
73
9
-
-
Import 2000
Sannwood (000 cum)
Export 2000**
3
-
2
89
219
2
2
105
78
86
Panal products (000 cum)
Processed products, 2000
-
37
- 10,119
Fuel wood (000 cum)
449
809
5,583
-
91
449 20,553
60 13,615
-
40
3,608
4,322
1,163
2,625
3,345 16,993 - 19,226
61
895 88,981 30,055
166 297,320 24,278
Wood pulp (000 t)
Source: FAO Year Books of Forest Products * Figures in Parenthesis are the quantity of saw longs and veneer logs, included in the industrial round wood production. ** In addition to the products listed in the tabulation, 1,916,000 cum of wood chips and particles where produced and exported in year 2000, as follows: Indonesia: 203, 000 cum; Malaysia: 447,000 cum; Thailand: 923,000 cum; Fiji: 259,000 cum; and PNG: 84,000 cum.
63
8,188
Papua New Guinea
Vanautu
21,507 22,800
Myanmar
8,597
49,979 26,426 41,260
Malaysia 3,667
175,260 120,339 35,398
270
Indonesia
486
567
1990
273,687 319,498 24,406
307
6,316 10,928
1990
Industrial roundwood production (000 cum)*
India
Fiji
Cambodia
Country
Roundwood production (000 cum) Round wood (000 cum)
Table 10. Wood production and utilization in ITTO producer member countries in the Asia-Pacific region, 1990-2000
Industrial round wood (000 cum)
230 Sustainable Management of Tropical Forests – Private Sector Experiences
Sustainable Management of Tropical Forests – Private Sector Experiences a. Forestry Situation Early in 1990s, the RGC made the decision to introduce private industrial forest concessions as the main instrument of commercial forest management in the country. The first concession was granted in 1994. Between 1994 and 1997, the RGC granted some 36 commercial forest concessions encompassing an area of about 7 million ha or 65% of Cambodia’s forests. By introducing the forest concession system, the government sought to delegate responsibility for forest management to private sector companies and raise much needed revenue for national development. Foreign timber companies started investing from late 1994, peaked in 1996, and the last concession was granted in 1997. Average log production increased from 350,000 cum in 1960 to 1,500,000 cum in 1995, along with exports of logs, sawntimber, veneer, plywood, particle board, sleepers, flooring and furniture. (Log export has since been banned, in 1996). All these developments took place without any reliable resources assessment; and the forest product processing facilities that were created had significant over-capacity. The period 1994-1998 also became one of uncontrolled and illegal logging activity, and wood extraction rapidly reached unsustainable levels. The World Bank and other donors tried hard to get the concessionaires to manage their forests sustainably and to pay more taxes, but without much success. Most companies continued to log high value species in their concessions as quickly as possible, without following the twenty-five year harvesting cycle, as prescribed. Even though the international agencies recommended that companies only harvest logs on an average of 10 cum/ha, the companies typically harvested four or five times that amount. It has proven difficult to change such behaviour because excessive harvests allow the companies to earn greater profits and reduce their risks (McKenney, 2002). Apart from dismally poor infrastructure, the RGC lacked the institutional structure to cater for, and regulate, the industry. Forestry related laws and regulations were fragmented, out-of-date and inconsistent. Lack of effective monitoring and enforcement led to widespread anarchic logging, particularly in areas next to the Thai and Vietnamese borders where illegal cross-border timber trade was uncontrollable and rampant. When foreign assistance was resumed after the “Second Mandate” of the RGC, the donor community (including World Bank, IMF and ADB) had specified various pre-conditions for continuation of loans and aid. One such pre-conditions was forestry sector reform (which is still on-going). b. Reform Programme of the Forestry Sector The forestry sector reform basically is stratified into four major areas:1. Establishment of a National Forest Policy, backed by comprehensive forestry laws, regulations and technical guidelines. 2. Strengthening institutional capacity of the government (Department of Forestry and Wildlife) to enable effective monitoring and enforcement. 3. Strengthening the private sector involvement in forest industry to become the effective partner of the government, in national development. 4. Increasing participation of NGOs, community and external stakeholders in planning, management and monitoring processes. Cambodian Timber Industry Association was formed to respond to this reform requirements, and to assist member companies to attain minimum capacity to meet the stringent technical and regulatory requirements. From the end of 1998, RGC has been implementing the forestry reform programme by establishing normalcy and order in the sector. First major reorganization of forest concessions resulted in the cancellation of 12 concession contracts, involving ten companies and a total area of 2,350,546 ha, for violating the conditions of concession agreement. One company voluntarily terminated the concession agreement due to commercial non-viability. More concessions were later cancelled for their alleged involvement in forest crimes, ranging from logging in PAs and outside concession limits to intimidation of officials. However, Cambodia’s forest policy continued to focus on those that remain.
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Sustainable Management of Tropical Forests – Private Sector Experiences It has been claimed that as the result of reform initiative, all illegal logging activities have been eliminated; 22 forest concessions covering an area 3,001,470 ha involving 15 companies had been terminated, and the cancelled concessions are set-aside as proposed protected forests and forest estate. Currently there are fourteen concessions with valid forest concession agreements, covering a total area of 3,874,029 ha. In order to control illegal logging, permission to set up saw mills were cancelled, in January 1999, except for those integrated with forest concessions. Prior to the commencement of the 2000 logging season, the DFW stipulated that no cutting permits would be issued until 100% inventories of the annual coupes were completed, 5% inventories were carried out for the next four annual coupes, and the companies had made the required minimum royalty payments. However, the stipulations were not adequately heeded. Total harvest from concessions substantially reduced to 121,500 cum in 2001, compared to about 280,000 cum 1998 which itself was considerably below the AAC of about 500,000 cum, which was in force at that time. Parallel to the reform programme, and linked to it, a forest concession review was undertaken, under the auspices of the ADB in the year 2000. The review was designed to encompass the operations of all the concessionaires existing in Cambodia at the time and to evaluate and report on: • the degree of compliance with existing contract agreements, specifically the Investment Agreements (IA) and the Forest Timber Licences (FTL); • the degree of compliance with existing Cambodian law in general and with the forest regulation in particular, more specifically those dealing with the cutting, transport and export of timber and the construction of access roads; and • the level of sustainability of the current system and technical performance as judged against internationally-accepted principles and practices of SFM. The findings of the field inspections and observations have indicated that the state of the current concession forest management is alarmingly at odds with the goal of sustainability, which is the essence of the partnership between the state and the concessionaires. Correcting this situation and preserving the renewability of the nation’s forest resources through scientific and systematic management was considered imperative. The review team stressed that the crisis situation was “the result of a total system failure, resulting from greed, corruption, incompetence and illegal acts that were so widespread and pervasive as to defy the assignment of primary blame. It is to be shared among a wide spectrum of people.” c. Pilot Project on Concession Management and Control In October 2000, the RGC signed a Development Credit Agreement with the International Development Association of the World Bank to support a $ 4.8 million Forest Concession Management and Control Pilot Project. This three-year project assists the DFW in its efforts to strengthen its institutional capacity to monitor and regulate forest concession operations. As part of the forest concession reforms, concessionaires are required to prepare forest management plans consistent with international standards and to renegotiate forest management investment contracts. The primary objectives of this three-year project are: • to demonstrate the effectiveness, and ensure the acceptance, of a comprehensive set of forest management and operational guidelines and control procedures consistent with international standards in forest concession areas, and • to support the development of an efficient and effective forest crime monitoring and prevention capability. In order to accomplish these objectives, and to ensure compliance with SFM practices, four groups/units have been established within the DFW dealing with: Forest Planning & Inventory; Concession Regulation & Control; Forest Crime Monitoring & Prevention Operations; and Project Management & Institutional Strengthening Activities. Technical assistance will facilitate the achievement of the project’s objectives, and will be used to coordinate the delivery of appropriate capacity-building training programmes. Project performance will be assessed against several representative indicators, including:
Sustainable Management of Tropical Forests – Private Sector Experiences • adherence to forest resource management guidelines and procedures; • establishment of procedures, provision of training, and the dissemination of information related to institutional and policy reforms; and • reduction in the incidence of illegal logging. i. Potential Harvest Limit Based on landuse cover established by aerial pictures taken in 1958-1960 (Forestry Research and Education Institute, supported by USAID), and research studies, the annual potential harvest of commercial logging was calculated at 515,000 cum. In the selective cutting systems applied in Cambodian forests, harvesting intensity is expressed in terms of volume of merchantable timber or the percentage of the standing merchantable volume, to be removed. Forest growth in Cambodia has been estimated to be in the order of only 0.3 cum/ha/year. Applied to a cutting cycle (assumed at 35 years), this has been used to establish a harvest limit of 10 cum per ha or approximately 30% of total standing volume. This is essentially the Cambodian standard as established under Article 3 of the “Regulations on Forest Resources Exploitation” which specifies selective cutting, and sets the rate of extraction at 30% of the total volume (of all merchantable trees which satisfy the corresponding diameter limits) available for harvest, in evergreen and mixed evergreen forest. In order to ensure sustainable management of the forests, the RGC introduced mandatory compliance requirements for every concessionaire in 2001. Preparation of long-term strategic forest management plans consistent with international standards, and renegotiating model forest concession/investment agreements are features of the compliance requirement. During the 2000-2001 dry season, the AAC was reduced by 50%. Further, a joint working group on forest concession management was established, composed of representatives from the CTIA, the DFW and international donor agencies, that set 30 September 2001 as target date for initial submission of concessionaires’ strategic forest management plans. This initial target date was subsequently considered to be somewhat unrealistic. On the basis of: a study prepared by ONF, the National French Forestry Institution, recognition of the technical difficulties involved, and the requests received from concessionaires, the deadline for the submission of long-term strategic forest management plan was extended to the end of September 2002. The process of preparing long-term strategic forest management plan requires individual concessionaires to: -
prepare a practical plan, within a realistic time frame, for conducting a forest inventory in their concession areas according to established guidelines; conduct field operation subsequent to approval of the forest inventory plan; and prepare a long-term strategic forest management plan using the results of that inventory, and those of a through environmental and social impact assessment (ESIA).
There has been delay in renegotiating Model Forest Concession Investment Agreements as well as submission of new long-term strategic forest management plans. In mid December 2002, the RGC issued the Declaration on Suspension of Forest Concession Logging Activities, starting from 1st January 2002 until the approval of a new forest concession management plans consistent with regulations and technical requirements. d. Achievements Achievements so far include the issue of the National Forest Policy; national strategic plan for forest rehabilitation; forest laws, regulations and directives; establishment of the Forest Research Institute and the Forest Crime Monitoring Unit under the Ministry of Agriculture, Forestry & Fisheries. A GIS Unit within the DFW has completed the Year 2000 Forest Resource Interpretation. Currently, awareness programmes for bio-diversity conservation, RIL and forest certification are going on. Wildlife and bio-diversity conservation efforts were being spearheaded by conservation NGOs, and community forestry and community involvement programmes by NGOs such as Concern, Oxfarm, etc.
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Sustainable Management of Tropical Forests – Private Sector Experiences i. The National Forest Policy RGC adopted the National Forest Policy of Cambodia with assistance from the Cambodia-Germany Forestry Project on 26 July 2002 with the following objectives. -
Conservation and sustainable management of the country’s forest resources Establishment of remaining forest reserves as permanent forest estate Promoting maximum involvement of private sector and participation of local people Establishing co-ordinated multi-stakeholder process for forestry development Promoting forestation programmes
The policy emphasizes on forest resource conservation, management of cancelled concessions, eradication of illegal logging, good governance, local community participation, socio-economic development and poverty reduction. ii. Model Forest Concession Agreement A Model Forest Concession Agreement, prepared with technical assistance of World Bank and ADB, has provided a framework for dialogue between the DFW, the CTIA, and other stakeholders. It is being used as the basis for contract renegotiations that are occurring between the RGC and forest concessionaires. The Cambodian Code of Practice for Forest Harvesting, a legal instrument for achieving SFM on forest concession lands, became effective on 26 July 1999. Its implementation is intended to protect the environment and promote economic development consistent with the principles of SFM. A Forest Concession Management Planning Manual, prepared with assistance from the ADB, has been provided to concessionaires to facilitate development of their forest concession management plans. iii. Community Forestry A Sub-Decree on Community Forestry, to increase the number of community forests and to encourage local communities to participate in SFM and forest resources conservation has recently been drafted. The draft is now under discussion. iv. Forest Crime Monitoring and Reporting Project In order to strengthen the capacity and develop the infrastructure for monitoring and reporting forest crimes in concession and non-concession forestlands through the DFW under the Ministry of Agriculture, Forestry and Fisheries, and in National Parks and PAs through the Ministry of Environment, the “Forest Crime Monitoring and Reporting Project (FCMRP)” was established in August 1999 with technical assistance from FAO/UNDP. Positive actions towards forest sector development are underway in Cambodia including among others: limiting forest exploitation to the level of annual growth or AAC; managing and promoting nonwood forest products; improving collection of royalty, taxes and charges from wood harvest; intensifying action against illegal logging and over-exploitation; and developing measures for environmental protection and conservation of bio-diversity. v. Major Constraints The following are some of the major constraints afflicting the forestry sector and creating hurdles in its progress towards development. • Apart from commercial logging, fuelwood collection and charcoal production and shifting cultivation have resulted in net loss of forests. Deforestation is evident in all types of forests, worst being the edaphic forests such as the mangroves along the Gulf of Siam and the flooded forests around the Tonle Sap Lake. • Increase in population and demand for agricultural land continuously cause unplanned conversion of forestland, resulting in the decline of forest area.
Sustainable Management of Tropical Forests – Private Sector Experiences • Multiplicity of jurisdictions on forested land in Cambodia affects forest management. While bulk of forested lands falls under the jurisdiction of the DFW, PAs are administered by the Ministry of Environment, and flooded forests by the Department of Fisheries. Moreover, the Provincial and District Forest Offices are under the direct authority of Provincial Governors. DFW has only the responsibility to provide technical advise to Provincial and District offices. Weaknesses of institutions is excacerabated by inadequate capability, insufficiency of funds and infrastructure, and lack of awareness about the importance of natural resource conservation. (Sources: Henry Kong, Personal Communication, December 2000; FAO 1997f; FAO/RAP 1998a; FAO/RAP 1999; ADB/RGC, 2000; McKenney 2002).
5.7.2
Fiji
a. Economy Compared to other island countries in the South Pacific, Fiji is more urbanized and industrialized. Fiji’s economy is dominated by sugar and coconut. Fiji also has a small but well established dairy industry. Gold production has expanded dramatically and is now the second largest export commodity. In recent years, Fiji’s economic growth has stayed on course (ADB, 2003). b. Forest Resource Base A GTZ inventory indicated that indigenous forests occupy 857,577 ha, and estimated that unexploited forests total 253,000 ha. 89% of the unexploited production forests and 84% of all Fijian forests are in communal ownership. In addition, there is a small area of about 42,000 ha of mangrove forests. The production forest estate in Fiji comprises 267,000 ha of indigenous forest and 145,000 ha of plantation forest (this includes 40,000 ha of coconut). Around 65,000 ha of the indigenous production forest had been logged upto 1990. Another 63,000 ha is protected, non-commercial forest. Since 1967 an estimated 120,000 ha of forest have been converted to non-forest landuses. This has resulted in a marked change in the distribution of forest types. c. Forest Plantations Fiji had the most aggressive plantation establishment policy of any of the Pacific Islands. A programme of resource development through large scale plantation of pine and hardwood was implemented after 1960. The main softwood plantation species is Caribbean pine (Pinus Caribaea), mostly under the management of Fiji Pine Ltd. The main hardwood species are mahogany and teak managed by the Fiji Forestry Department, which was created in 1938. Most of the commercial forests, including the plantations, are located in the dry western ends of the main islands. The Forestry Department has a plantation programme target of 4,500 ha per year with an end-target of 80 to 85 thousand ha of hardwood plantations. Fiji Pine Ltd has an ultimate target of planting 75,000 ha. with Pinus Caribaea. As of 2003, the achievement in raising forest plantation was 51,000 ha of hardwood (mostly Mahogany) and 42,000 ha of Pine (Jiko, 2003). Plantations have been established in two major areas in Western Veti Levu and Vanua Levu. d. Bio-diversity and Forest Conservation Currently an area of 21,845 ha of forest is legally designated as nature and forest reserves in Fiji. With the existing designated conservation areas, the main issues of management concern are related to controlling encroachment and maintaining the boundary. At the same time issues related to new conservation sites include conflict of interest among land-owning units. e. Forest Harvesting The major factor determining allocation of timber cutting rights in Fiji is the pattern of land ownership. The bulk of the land, including productive forest land, is owned by Fijian communal groups of over 6,000 land owning units called “mataqali”. Fijian mataqalis do not have any corporate authority to deal in lands, and all negotiations
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Sustainable Management of Tropical Forests – Private Sector Experiences for the use of the indigenous timber growing on their land have to be conducted through the Native Land Trust Board5 To harvest the timber on native land, a Forestry Right Licence is required under the law. There are four categories of tenure for timber cutting rights in the natural forests: • • • •
Timber concessions (15-30 years period); Long-term licences (10 years); Annual licences; and Other licences and pre-payment licences (usually for land clearing)
The customary land owning groups (mataqali) own most of the forests and retain usufruct rights. Logging is allowed only by consent of both the “mataqali” and NLTB. Since the greater part of Fiji’s forests belong to the mataqali, timber cutting rights are negotiated between concessionaires or licensees and the NLTB, which authorizes the Forestry Department to issue logging licences and to administer concession agreements. Most large scale sawmills have their own logging areas and logging organization. However, hardly any planting (afforestation/reforestation) is carried out by them. Logging in most cases is based on a selection system. Normal girth limit for felling is 60 inches (150 cms) at breast height. The concessionaire can fell trees down to a girth of 45 inches (112 cms), provided he agrees to take all species. The bigger logging operations are mechanized with chainsaws, tractors and articulated wheel skidders, but many of the smaller operators still rely on bullock skidding and underpowered haulage trucks. f. Forest-Based Processing Industry Fiji is a producer and exporter of woodchips, sawn timber and plywood/veneer. As with most other aspects, Fiji’s wood processing industries are more sophisticated than those in other Pacific Islands. Almost twothirds of the production is sourced from natural forests. Sandalwood remains a viable production option. There are 23 licenced saw mills in Fiji. Before 1997, there used to be around 50, but with the change in sawmilling policy (i.e. change-over from circular saws to bandsaws, effective from April 1997), the numberwas drastically reduced. There has also been substantial investments in the wood drying sector. g. Socio-Economic Contributions The forestry sector contributes about 2.5% of the GDP. The hardwood plantations, in particular Mahogany, have enormous value-adding potential of more than US $ 500 million annually. The forest sector is also an important generator of government revenue. The value of timber and timber products exported has contributed an average of US $ 40 million, over the last five years. The royalties paid to customary owners contribute a significant proportion of rural income. h. Institutional System The Department of Forestry and Fisheries were separated from the Ministry of Agriculture, Fisheries and Forests in September 2001, to become a fully fledged Ministry known as the Ministry for Fisheries and Forests. i. Forestry Department The Forestry Department directly manages all forest reserves and indirectly manages and regulates all forest exploitation except that of Fiji Pine Ltd. It advises the NLTB on timber exploitation; licences and controls the commercial extraction of timber and other forest produces; licences sawmills and processing units; and enforces regulations, while collecting fees and royalties for the land owners. The Forestry Department carries out silvicultural and forest management research and forest surveys and mapping. It is responsible for establishment of hardwood plantations and controls certain areas of Pine. Other responsibilities include forest protection, forestry training and forest extension.
5
NLTB was set up in 1940. NTLB administers all customary land with the consent of land owning units. Minister for Fijian Affairs is the Chairman of the NLTB. Great Council of Chiefs nominates members to the Board. There are also 1 or 2 government representative in the Board.
Sustainable Management of Tropical Forests – Private Sector Experiences ii. Fiji Pine Ltd. In May 1973, the Pine Scheme Division of the Forestry Department was reorganized as a separate Department within the Ministry of Agriculture, Fisheries and Forests. The objective of the scheme was to establish large scale Pine plantations in the dry zones of Veti Levu and Vanua Levu for supply of pulpwood. This Department was subsequently formed into an autonomous Commission to acquire statutory status and later as a limited company and to function on a commercial basis. Fiji Pine Ltd operates an area of 43,200 ha on lease. iii. Extension and Awareness Forestry Extension Division provides technical advice and assistance for establishment and sustainable management of forest resources. The awareness work has been greatly complemented by the ITTO project on Landowner Training and Education for SFM. iv. Forest Policy The Forest Policy of Fiji was enacted in 1950 by the then Legislative Council. Encouragingly the seven point policy is still valid and continues to serve as the basis for forestry development. i. National Forestry Action Plan The National Forestry Action Plan prepared in 1989 under the TFAP framework, was a classical investment plan. The exercise led to the identification of 29 projects which were presented to donors in May 1990. Although the NFAP document has not been formally approved by the Government, it has received tacit approval and is now being implemented. 25 of the 29 project proposals have been implemented or are currently under execution, either individually or grouped together. Major forestry developments in Fiji, in the recent period include, among others, the following: • Over 37,000 ha of forest and nature reserves are in the place. • A National Code of Logging Practice is being implemented. Training of industry personnel to improve logging skills and techniques to reduce environmentally damaging logging operations was initiated. • A royalty system for forest products was put into effect in 1990. • Timber Preservation Regulations have been introduced. • Forest management systems for indigenous forests have been developed and are in place. • Environmental management is being integrated into the planning and development process in order to safeguard the environment. j. Fiji Government’s Strategic Forestry Plan, 2002-2005 The goal of the Strategic Forestry Plan is “Sustainable Management and Development of Forest Resources”, with the following specific objectives: • To provide an appropriate institutional and physical infrastructure to support the development of the forestry sector; • To ensure sustainable development and management of forest resources; • To promote community-owned and managed forest processing and value-adding facilities based on indigenous forests and community-owned plantations; and • To promote the production and export of value-added timber products. k. Outlook The forestry sector is described as a “growth sector” of the Fijian economy. The sector ranks fifth in terms of foreign exchange earnings and provides direct employment to about 3,000 people. The forestry activities, which are mostly in rural areas, support rural development by providing the necessary infrastructure.
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Sustainable Management of Tropical Forests – Private Sector Experiences l. Constraints Some of the constraints being faced for sustainable forestry development in Fiji, among others, are: lack of proper infrastructure; lack of awareness on the part of the public about the importance of forestry; land owner ignorance about the financial potential of their resources; continual clearfelling of hill forests for various types of uses; inadequate capability and facilities; insufficient timber utilization technology applications; and resistance on the part of industrial units to follow National Code of Logging Practice. [Sources: FAO 1997d; FAO 1997e; FAO 2001a; ADB 2003; Jiko 2003]
5.7.3 India India has an agriculture-dominant economy. The country adds 17 million people annually to its population. Over 40% of the population lives below poverty line. While there are several factors, which constrain socioeconomic progress and development of the country, the effects of over-exploitation of natural resources on the environment and the people have been serious. a. Forest Legacy India has a long tradition of professional forestry. Contemporary forestry legislation and policy date back to 1864. India is one of the 12 mega-biodiversity countries, commanding 7% of world bio-diversity and supporting 16% of major forest types, varying from alpine pastures in the Himalayas to temperate, subtropical and tropical forests, and mangroves in the coastal areas. The major forest types seen in India are tropical wet evergreen, tropical semi-evergreen, tropical moist deciduous, tropical dry deciduous and littoral and swamp forests. But nearly half of the country’s land surface is degraded, affected by soil degradation and erosion. About 146 million ha (out of the total area of 297.3 million ha) are affected by wind and water erosion, and about 7 million ha have become degraded due to excessive salts. Some 8.5 million ha are under water logging and about 10 million ha are affected by shifting cultivation. According to official statistics, nearly 23% of the country’s land has been recorded and legally classified as forests (while the actual area under forest cover is less). This is much lower than the goal of 33% set by the 1988 National Forest Policy (GOI\MoEF 1999, GOI\MoEF\FSI 2003). The 1998 National Forest Policy (NFP) lays special stress on: maintenance of environmental stability and restoration of ecological balance; conservation of the country’s natural heritage and biological diversity; improved soil and water conservation; increasing forest cover through massive afforestation and social forestry programmes; providing the basic need of the rural and tribal population; increasing forest productivity; improving efficiency of forest product (both wood and non-wood) utilisation; and creating a massive people’s movement with the involvement of women to achieve these objectives and to minimize the pressure on existing forests. The policy stipulates that industrial wood needs would be met increasingly from farm forestry. b. Scientific Forest Management Scientific management of forests under modern concepts was initiated in the early part of 1800s. With so many eco-climatic zones covering the country, several different silvicultural systems were adopted – selection system in the wet evergreen and semi-evergreen forests; shelterwood system in the coniferous forests and certain types of moist deciduous forests; clearfelling and artificial regeneration with valuable species in moist deciduous/monsoon forests; coppice and coppice with standards system in dry deciduous forests; afforestation with exotics to reclaim grasslands and so on. The earliest teak plantation in India was raised in 1839. Eucalyptus was introduced in 1843 and rubber in 1873; cashew followed soon after. Forestry development followed different routes in different parts of the country. All these, however, seem to have converged on deforestation and forest degradation. And, systematic, consistent and accurate information on the geographic extent and physical condition of the forest is lacking.
Sustainable Management of Tropical Forests – Private Sector Experiences c. Deforestation and Forest Degradation Forest degradation and deforestation have happened in India due to unsustainable practices and pressures from other forms of landuses. India’s forest resources were under very heavy biotic stress: shifting cultivation, encroachments, excessive wood harvest, timber smuggling, grazing and forest fires – particularly after the country became independent in 1947. India has been able to reduce the rate of deforestation during the last few years. The annual average rate of deforestation fell from about 1.3 million ha in the 1970s to about 125,000 ha in the 1990s. While there has been some improvement in controlling deforestation, forest degradation appears to be continuing, as evidenced by the fall in the average growing stock of wood and biomass volume per ha. According to recent assessments, the area under effective forest cover in India is only 64.1 million ha (19.5% of the geographic area of the country). Of this only 60% is categorized as closed forest. 13.5 million ha are categorized as production forest; and 25.0 million ha are social forest. An impression given is that total forest area in India is increasing because of large scale of afforestion/reforestation efforts. Deforestation is to be assessed in terms of loss of natural forests; and agroforestry crops and fuelwood lots raised by farmers cannot offset losses of natural forests. d. Forest Plantations India’s achievement in raising forest plantations, in terms of area (32.6 million ha), has been impressive. However, the performance of forest plantations (particularly those under the public sector), in terms of survival, growth and yield has been poor. Inadequacies in site selection and site-species matching, poor planting stock, lack of maintenance and protection, lack of timely tendings, and lack of adequately trained staff are some of the causes for the situation. Forest plantations being a major investment activity, the low level of productivity is a cause of concern. Inspite of the large area and investment involved, a full inventory of plantations broken down by species, objectives, age, quality/density classes, use classes etc does not exist. About 50% of the plantations raised since 1980 are in an agro-forestry environment with varying intensities of management. The 1998 NFP had directed that, as far as possible forest industries should meet their raw material requirements from timber grown in collaboration with farmers and local community. Due to lack of incentives and extension and insecure tenure for trees grown in private lands, accomplishments have been below expectation. As of 1990, less than 30% of all forest plantations could be classified as industrial, the rest being raised for non-industrial purposes. If the forest plantations are adequately managed to achieve their potential productivity, India will be in a position to meet the future domestic demand, and will probably be able to undertake export-oriented activities. Emphasis should be placed on enhancing productivity, qualitatively and quantitatively. Plantation development should be undertaken as enterprises, stressing on efficiency. e. Company-Community (Farmer) Partnerships Based on the stipulation in the 1988 NFP that the practice of supplying forest raw material to industry at concessional prices should cease and that the forest-based industries should preferably obtain their raw material requirement from farm lands, a number of companies (particularly pulp and paper companies) took up initiative and tried out various approaches to form partnerships with farmers. • Supply of free or subsidized planting stock with or without buy back guarantee; • Bank loan schemes under which the company helps the farmer to get the loan and provides planting stock, technical extension and buy back guarantee; • Leasing or sharecropping scheme under which the company raises and maintains plantations on farmers lands based on appropriate arrangements. • Intensive research and development and commercial sale of clonal planting stock to farmers by companies with or without buy back guarantee
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Sustainable Management of Tropical Forests – Private Sector Experiences The various schemes started under the company-community (farmer) partnerships have two major achievements to their credit. First, they have generally popularized the concept of tree farming; second they have directly contributed to the cultivation of a large number of commercial trees on private lands. f. Protected Areas India’s achievement in PA development is significant. PAs in India cover about 14.8 million ha representing about 14% of the forest area, consisting of 80 National Parks, 441 Wildlife Sanctuaries and 23 Tiger Reserves. However, the condition of several of the PAs are poor, because of fire, grazing, and inadequate management. Most PAs are not covered by comprehensive management plans. Some are below the minimum size required to be effective. People-wildlife interface in several cases are fraught with conflicts and tension. g. Logging Ban The looming environmental crisis made it necessary for the Government to emphasise the conservation role of forest, in preference to their economic role. With the advent of the Forest Conservation Act of 1980 and the National Forest Policy of 1988, the production role of the Government Forest was assigned a lower priority and logging operations (green fellings) in natural forests was discouraged and in several cases locally banned. Import of logs and wood products are allowed. The wood scarcity situation has provided an impetus for development of farm forestry, homestead forestry, agro-forestry and trees outside forests. There has been efforts to grow captive tree plantations by wood-industry units. Several industrial units are also promoting out-grower tree farms. Currently about 50% of the wood supply in the country is received from non-forest sources. Of the rest, a considerable portion is accounted for by imports and the balance obtained from public forests, mainly forest plantations. While logging is being banned in natural forests, there has not been adequate management interventions and protection, thus leading to their further deterioration. h.
Non-wood Forest Products With the new emphasis on environmental conservation, NWFPs have recently re-emerged as ecofriendly products as their harvest tend to cause less damage to the ecosystem, compared to logging. NWFPs deserve special mention because of their great potential to support economic development, consistent with the principles of SFM. NWFPs cover a wide range of products (goods and services) including bamboo, thatching materials, fruits, tubers and medicinal plants. These products are essential to meet the basic needs of local communities. Other NWFPs, such as latex, gums, resins, essential oils, flavours, fragrances and aroma chemicals help to promote value-added processing, niche marketing, and export trade. NWFPs can provide increased employment opportunities and income earning capabilities. To derive the full benefits of some of the high value NWFPs, it requires specialized skills ranging from bioprospecting at the resource end, to quality control, storage and packaging at the market end. Management of NWFPs will probably decide the sustainability of forestry in the future. NWFPs in India play an important role in the social and traditional life of millions of forest dependent population, particularly the tribal and land-less people, women and other rural poor. Today, it contributes over 75% of total forest export revenue in India. Nearly 400 million people living in and around forests in India depend on NWFPs for sustenance and supplemental income. NWFPs contribute significantly to the income of about 30% of the rural people. More than 80 % of forest dwellers depend on NWFPs for basic necessities. Collection of NWFPs comprises the main source of wage labour for 17 % of land-less labourers, and 39 % more are involved in NWFP collection as a subsidiary occupation (Prasad & Phukan, 2000). The high potentials of NWFPs in India should be rationally used through scientific approaches aided by research, acquisition of technology and people’s participation. i. People’s Participation The concept of people’s participation in forestry has gained acceptance in India, and there has been attempts to introduce limited participation, as seen in the different models of JFM. However, informed, active and organized participation is yet to become a feature of forestry. Local organizations such as co-operatives are still rare in forestry. There is need to do much more, to fully involve people in SFM.
Sustainable Management of Tropical Forests – Private Sector Experiences i. Joint Forest Management A programme known as Joint Forest Management has been gaining ground in India, as an effective means of regenerating/rehabilitating degraded forests. Initiated informally in the early 1970s to enlist the participation of local people in forest rehabilitation efforts, JFM has become the flagship programme of India in peoples participation. Participatory forest management on a usufruct–sharing basis occurs by enlisting people’s involvement in the development of fuelwood, fooder, small timber and NWFPs. Various institutional structures such as village forest committees, forest protection committees, eco-development committees are constituted for protection and rehabilitation of degraded forests. Generally, all village house-holds are members of the committees. Exact constitution of the committees and nature of their duties, privileges, rights and benefits differ from State to State. JFM has spread throughout the country, bringing under its fold around 14 million ha of forest land. In respect of JFM, however, several legal and policy aspects are yet to be clarified. j. Private Forestry Initiatives The government has been by far, the most important player in the Indian forestry sector. While ‘large scale forestry’ has been the monopoly of the Government, rural people have been practicing a parallel forestry in their farms, homesteads, and community lands to primarily meet the household requirements for fuel, poles, timber and medicinal plants. Several different combinations of agro-silvo-pastoral systems were practiced by the rural people. With the advent of social forestry, a promotional drive was launched for tree planting in wastelands, institutional lands, and non-forest public and private lands. A large number of tree farming and agro-forestry enterprises have sprung up all over the country and they are performing an important role as suppliers of forest raw material as well as market products (fuelwood, poles, small timber, bamboo etc). A new development in this regard has been the involvement of large pulp and paper companies in supporting such small scale efforts through R & D support, technology extension for establishing clonal plantations, and a buy-back arrangement for the pulpwood produced. Currently the area of private tree planting (including agroforestry/ farm forestry) covers an area of over 6 million ha. In addition to these, three are also other non-forest sources of wood, namely rubber, coconut, cashew and mango plantations. The non-forest sources together provide about 50% of total wood supply in the country; and probably an equal or larger share of NWFPs. There are also a large number of small private nurseries, meeting the local demand for tree seedlings. The private forestry initiatives are not supported in commensurate measure by the Government through relevant research, extension, technological packages, input delivery, market information and/or credit facilities. Being private initiatives, these forestry efforts tend to be efficient in terms of growth and yield. But the land owners can also move on to better economic alternatives if and when such opportunities are available. In the interest of sustainable forestry, it is necessary to encourage the small operators to keep up their interest and to ensure that their needs are adequately understood and addressed. A number of private companies are now getting involved in raising forest plantations for producing wood raw material. There are some 40 plantation companies in operation. It is too early to comment on their performance, eventhough some of the companies have wound up their operations due to serious problems. While the Government had dominated the Indian forestry scene for the last 150 years, there is a growing realization now that the private sector should be encouraged to play a greater role than it has hitherto played. It has been widely accepted that there is an urgent need to loosen bureaucratic control and simplify procedures to allow the private sector to contribute more effectively (Saigal, et. al, 2002). The timber transit rules and regulations have been relaxed by some states as a means to encourage private tree planting. k. Forest-Based Processing Sector In Indian forestry, the private sector is, however, dominant in the area of harvesting and processing. About 90% of forest-based products are manufactured in the private sector while about 97% of the forests are owned and managed by the Government (Saigal et al 2002). The raw material requirements of the privately-owned forest industries were being met by adopting different arrangements such as auctions, negotiated sales and allocation agreements. With logging bans/restrictions, they are now in the grip of raw material shortages.
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Sustainable Management of Tropical Forests – Private Sector Experiences India produces a range of processed forest (wood and non-wood) products ranging from sawnwood, panel products and wood pulp to bamboo and rattan ware and pine resin. Total industrial wood consumption by wood-based processing industries is about 25 million cu.m. This, however, accounts only for about 15% of total wood consumption; 85% is consumed in the form of wood fuel. No information is readily available on processing based on NWFPs. The demand for wood as standing trees in the forest depends on the efficiency in logging, processing and product use, as well as on the level of recycling. Conservation and sustained management of India’s forests can be enhanced by reducing the demand for wood. Management of forests for non-wood benefits, being generally non-destructive, is considered compatible with the principles of SFM. The logging and processing technologies in use in India are generally inefficient, causing high amount of wastage. Fuelwood use in open hearths is conspicuously inefficient due to considerable heat loss. Improved stoves and modified methods of cooking can reduce the fuelwood need. Similarly, seasoning and preservative treatment can increase the life of solid wood products. A contradictory situation is seen in the wasteful use of raw material on one side, while there is a high percentage of unutilized processing capacity on the other, allegedly due to lack of raw material. This situation is probably explained, at least partly, by low level of technology and lack of adequately trained manpower. A related aspect of the situation is low product quality and their incapability to penetrate new markets. Removal of concealed subsidies, commercialization of products, policy incentives for modernization of technology and recycling of wastes, regulations regarding use of seasoned and treated materials, promotion of standard sizes and designs for bulk products such as wooden doors, windows, and school furniture and such other measures will help to improve efficiency in wood production and utilization. Value addition on forest resources, through harvesting, primary and secondary processing and marketing is an important means of improving employment, income and social welfare. It will greatly support development if at least part of the wood used as fuel is diverted, by stages, for value-added processing – e.g. as pulp and paper, particle board and packing cases. There is also need to address aspects related to product development, downstream processing, pricing policies and market surveys and analysis. Forest products research is another area where emphasis is called for.
l.
Forest Dwelling Communities
Forest dependent communities, particularly scheduled casts and scheduled tribes, are involved in some cases in an organized manner (through their societies and co-operatives) in collecting (also cultivating) and marketing of NWFPs. Most states in India have special arrangements to support such activities. The Tribal Co-operative Marketing Development Federation of India Ltd (TRIFED) focuses on the economic development of India’s ethnic minorities. Among the economic support systems created by TRIFED is a national network for the procurement, processing and marketing of forest (and agricultural) products from tribal areas. TRIFED has established over 5,000 single window service centers in traditional tribal markets in the rural areas of the country. These centers serve the tribal communities by procuring their forest and agricultural produces at support prices and acting as primary agencies for the sale of essential commodities and other consumer goods and for extending credit facilities to these communities.
m. Public Institutions The Government forest departments continue to play the prime role as custodians of the public forest resource, responsible for its administration and control, carrying out the authority function. Often they also perform an enterprise function, by involving in production, processing and trade. All the forested states in India have set up state-owned enterprises, designated as Forest Development Corporations, to be responsible for all (or part of) the business/commercial activities of the public forest estate. These corporations are meant to operate as business entities, efficiently and following business principles; but in effect most of them function as extension of the FDs, and are manned by FD officers on secondment.
Sustainable Management of Tropical Forests – Private Sector Experiences n. Legal Instruments The guiding legislation still current in India is the Indian Forest Act of 1927. While the policies have undergone changes, the legislation has not correspondingly changed. Thus the laws, rules and regulations relating to forestry are incongruous with policy provisions. The laws focus on prevention of offences rather than on promotion of development. Formulating a new forest enactment with related rules, regulations and procedures could help facilitate promotion of institutional autonomy and functional decentralisation, remove the impediments for participation of the people and the private sector in forestry, and support investment in the sector. o. Human Resource Development Forestry is multi-disciplinary field, and the array of skills needed – from those of the highly professional staff to sub-professionals and field technicians – are to be tuned to the specific needs of the sector. It also presupposes public education in forestry. The personnel administration in Government departments is based on the provisions of the Service Rules, which is not the same as HRD for a sector. The forestry sector in India is dominated by the Government Forest Service; its skill base is relatively narrow compared to the situation in several other countries; and its human resource development is inadequate. HRD involves human resource related planning, management and co-ordination. It covers aspects such as job analysis, work load estimation, skill need assessment, education and training, curriculum development, training of trainers, work atmosphere, vertical and parallel mobility, complementarity of skills, salary and benefits, pension and privileges, incentives and professional ethics. There is need to inculcate a development/entrepreneurial culture and conservation ethic into the profession, involving refresher training and retraining. At the level of organizations, professionalism, accountability and efficiency are prime requirements, fostered through improved skills, incentives, autonomy and congenial work atmosphere. p. Research and Technology Development Research on all aspects of forestry is an essential need to keep dynamism of the sector and to support development. Research and technology are prime forces helping to expand the development horizon. New research breakthroughs help to positively alter the outlook of the sector. The major institutions carrying out forestry research in India (ICFRE and the Research Divisions of SFDs) are funded by the Government. There are also few institutions which are privately funded. The present situation of the forestry sector is also a reflection of the lack of significant contributions or major breakthroughs made by the forest research institutions. Research is a neglected area of forest sector development. It is hoped that the establishment of ICFRE as an autonomous institution will help to improve the situation. It would, however, require considerable strengthening in terms of qualified research personnel, facilities and infrastructure, and equipment and funds. Problem solving task-orientation, participation of clients in research planning, demonstration of research results, dissemination and sharing of research information, networking of research institutions, establishment of technology centers to highlight the “do how” aspect of research are, inter alia, the areas requiring special attention. q. C&I for Sustainable Forest Management Considering the current weaknesses in managing the forest resources in a sustainable manner and taking into consideration the recommendations of UNCED and UN-CSD-IPF, India has developed a set of C&I for sustainably managing the dry zone forests of India, under the Bhopal-India process. r. National Forestry Action Programme Recently, India has published its National Forestry Action Programme (GOI/MoEF 1999). It has adopted a five programme structure (protect existing forest resource; improve forest productivity; reduce total demand; strengthen policy and institutional framework; and expand forest area) and a planning horizon of 20 years. s. Constraints and Issues Based on the foregoing discussion, several serious constraints and important issues are evident. These among others include: slow pace of policy reforms and ineffective regulatory mechanisms; over emphasis
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Sustainable Management of Tropical Forests – Private Sector Experiences on Government involvement and control; difficult administrative procedures; weaknesses and conflicting (authority and development) roles of PFA; inadequate planning capability; poor level of investment in forestry; inadequate involvement of private sector; low effectiveness of people’s participation; inadequate research and extension; insufficiency of human resource and skills; lack of co-ordinated holistic approach to development; neglect of NWFPs; market weaknesses; prevalence of illegal logging and log trade; technological inefficiencies and inadequacies in forest management; lack of an effective land use policy; low priority for forestry; wide gap between rhetoric and action; and above all lack of adequate awareness about the multiple (particularly environmental) roles and benefits of forests. These are clearly reflected in the missing components of SFM such as inventory of resources, functional and land capability classification, protection of natural forests, waste-free utilization, measures for resource expansion and productivity enhancement, and sustained investment. [Source: FAO, 1997g; FAO 2003; GOI/MoEF 1999; IIFM 2002: Saigal et al 2002]
5.7.4
Indonesia
a. General Background Indonesia’s population is about 210 billion representing some 300 ethnic groups, with rural population accounting 60.8%. Population is concentrated in Java and Bali. Population density in Java is 945 persons/sq km. Indonesia is physiologically, biologically and culturally one of the most diverse. Indonesia’s flora is characterized by its richness, a large number of endemic species and a very complex structure of vegetation. Forests are a very important natural resource for Indonesia. Indonesia’s forest cover, estimated at 104.99 million ha represents 58% of the land area. 58.2 million ha area categorized as production forest consisting of 39.2 million ha of permanent production forest and the rest as conversion areas. Forest and forest industry sectors have supported and contributed considerably to socio-economic development in Indonesia. Total output from forest related activities in 1997 was about US$ 20 billion or about 10% of GDP. Contribution of wood alone to GDP was about US$ 8 billion, 4% of the total. In order to realize this important benefit, considerable cost had to be incurred. The state of the Nation’s forests is now poor, marked by increasing rate of deforestation, erosion of biodiversity, land disputes, poor spatial planning and low productivity. b. Forestry Situation Indonesia has two distinct forestry situations: i) Forestry in Java, where population density is one of the highest and area of natural forest is very limited. Home gardens and trees outside forests supply a significant portion of the wood demand in Java. ii) Forestry outside Java. In the “outer islands”, population density is low and extensive areas of primary forests were available in convenient locations. In those areas export oriented, large scale, mechanized (capital intensive) commercial forestry was being practiced, involving the private sector.
Education facility at main camp, PT SBK, Indonesia
Village school, Wawoi Guavi timber area, PNG
Sustainable Management of Tropical Forests – Private Sector Experiences c. The Advent of Forest Concessions The Constitution of 1945, Article 33 provides the ultimate basis for the control and exploitation of forest lands and natural resources by the State. Under this authority, the Government of Indonesia regulates and manages the nation’s forest by the provisions and implementing regulations of the Basic Forestry Law, Law No. 5/1967 (which has recently been replaced by UU 41/1999). In the late 1960s, circumstances dictated the need to open up new frontiers for development, and to generate capital for investment. A new era started in the Indonesian forestry development. In order to open up the huge and valuable forest resource outside Java, the Government enacted legislation in 1967 to encourage participation of foreign investors. Response to this initiative far exceeded expectations. Largescale exploitation of Indonesia’s forests began, as the government commenced issuing forest concessions. Under the concession system, management and extraction of public forest resources are entrusted to private sector, on the basis of mutually agreed terms and conditions for achieving the forest policy and management objectives. The concession system can be used for managing natural forests under different silvicultural systems, for raising and managing forest plantations, and even for managing conservation areas. The concession system as is now practiced in the natural production forests was introduced in 1970, shortly after the logging industry began to expand rapidly. The system was intended to make concessionaires responsible for the proper utilisation and management of the natural forests, functionally classified as production forests, on a sustainable basis. It stipulated time limits for setting up wood processing units by stages. The intension was pursued through rules and conditions contained in concession agreements and through government regulations, decrees and instructions. Since 1970 a number of decrees and regulations have been issued periodically, modifying the concession procedures, in order to strengthen the system, to remedy the weaknesses and to promote SFM (Gray and Hadi, 1989). The basic regulation on concessions was the Government Regulation No. 21/1970 on Forest Concession Rights (HPH) and Forest Products Collection Rights (HPHH) issued in May 1970. HPH rights were essentially for large concessions and for periods of upto 20 years (to manage natural forests under selective cutting system on a 35 years cutting cycle). HPHH rights, which could be issued by providincial authorities, were for areas of less than 100 ha and periods of upto 2 years. However, HPHH rights ceased to be issued since July 1989. (It has been revived as IPK, in the wake of decentralization). Most of the HPH areas (about 94%) were initially allocated by the Government to private companies and only a small percentage of the total area was approved for management by State-owned enterprises. At present the five Inhutanis (State-owned enterprises) together hold about 12% of the operational HPHs. Under the concession system value of timber harvested and utilized by the concessionaires is realized by the Government as stumpage/royalty and other charges/levies. These charges may be placed into two broad groups, i.e. area-based and production (or volume) based charges. Area-based charges consist of the forest concession licence fee (IHPH) and the land and building tax (PBB). In various years, IHPH contributed only about 0.5% of the total forest revenue collected, PBB contributes about 2.5 to 3% of the total forest revenue. Production-based charges consist of the forest products royalty (IHH), scaling and grading fee, reforestation fee or fund (DR) and timber export tax. The IHH and DR account for about 96% of the total forest revenue. Regulations also specifyhow these levies and charges are to shared between the central and local governments. In addition, there are often local levies (e.g. rafting charges, dredging fees, compulsory savings fund etc) imposed by local administrations. i. Management System The autecology of Dipterocarps, which dominates the hill forests of Indonesia, are generally conducive for natural regeneration, provided the logging damage has not been heavy and the residual stand is allowed adequate time to grow into a second commercial timber crop. This characteristics has been the basis for the various management systems developed for these forests – i.e. TPI, TPTI and TPTJ. The silvicultural system prescribed for logging in concession areas has been the Indonesian selective cutting, TPI (Tebang Pilih Indonesia) – a modified version of the Malaysian selection system. Selection system in effect mimics nature, so that it results in least disturbance to the condition of the forest. Only
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Sustainable Management of Tropical Forests – Private Sector Experiences mature and overmature trees conforming to the prescribed conditions are removed. It is a complex system, which calls for intimate knowledge about the requirement of a large number of species growing together in intimate mixture. The system is amenable for multipurpose management, but is highly demanding on professional skils and technology. While the concessionaires were obliged to follow TPI, it was realized by 1980 that most of them were only complying with the minimum felling diameter limit and ignoring the other requirements of the system (e.g. residual stand inventory, post-harvest tending and enrichment planting). In 1989, the MOF introduced the Indonesian Selective Cutting and Planting System or TPTI, placing greater importance on natural regeneration and enrichment planting. This system is supplemented on a limited scale, and wherever appropriate, by a system of clear cutting with natural or artificial regeneration. Experience indicates that a large number of concessionaires still did not implement the system correctly even though there were provisions to take legal action against delinquents. In a further modification of the silvicultural system, TPTJ or selective cutting and strip planting was introduced in the 1990s. TPTJ is considered as an alternative capable of increased wood production and enhanced environmental conservation. ii. Growth in the Number and Size of Concessions There are no stipulations in the rules to restrict the size of individual concession, eventhough the optimum size of forest concessions is considered to be in the range of 150,000 to 200,000 ha depending on location, productivity, size of processing plant etc. Those above 200,000 ha are to be considered exceptional (FAO/MOF 1990a). Indonesia granted the first forest concession in late 1960s, when the Government Forest Department was part of the Ministry of Agriculture, lacking the human resources needed to manage the vast forest estate of the country. The number of concessions steadily increased from 45 in 1970, covering an area of about 5 million ha, to 584 with a total area of about 68 million ha, by early 1990s. Recorded production of industrial wood increased from 5.6 million cu.m in 1965 to about 47.3 million cu.m in 1990 leading to development of forest industries based on supply-push. HPH became the sole system of forest management in Indonesia, outside Jawa. Most concessions were issued in 1970s. They reached the end of the 20 year term in the 1990s. Renewal was not automatic; and concessions which performed poorly were not renewed. The number of operational concessions at present is around 300. The fall in the number of legal HPH is more conspicuous in some provinces, particularly following the political reforms. In West Kalimantan there were 57 HPHs of an area of 5.55 million ha in 1992 which came down to 26 concessions with an area of 1.96 million ha by 2002. The corresponding figures for central Kalimantan was 133 concessions of 11.59 million ha and 65 concessions of 5.39 million ha respectively. In line with the decreasing number of concessions during the last 10 years, the “legal” production of timber from HPH has also declined. To what extent HTI can replace HPH and other sources is not clear. Compared to the “reported” and “legal” production figures, “the actual” log production, estimated from the output of processed wood products appears to be significantly high. This situations is not at all favourable for SFM. Initially, the concessions were granted to fully owned foreign companies and the size of concessions varied between 15,000 to about 400,000 ha. 60% of the number of concessions, 68% of the concession area and 84% of investment in concessions in 1971 involved foreign capital, either in joint ventures or straight investment. With changing of policies relating to investment and equity participation, and related modifications in laws and regulations, concessions changed hands and came under Indonesian ownership. In due course, several of the concessions came under the control of large groups and conglomerates. Some 35 large groups are said to control all the forest concessions in Indonesia. The finance of the concessions, and the wood-processing enterprises integrated with them, are mixed up with the investments, loans and inventories of the large groups involved in multiple sectors and of the parent company controlling them.
Sustainable Management of Tropical Forests – Private Sector Experiences d. Wood Processing Development Prior to (and for about two decades after) independence, Indonesian forestry essentially catered to domestic needs for construction timber and fuelwood. Scientific forestry was almost entirely confined to management of teak forests in Java. By 1965, the reported production of industrial roundwood was about 5.6 million cu.m. With the establishment of processing units by logging concessions and other developments, by 1979 there were 1,011 sawmills producing 1.71 million cu.m of sawn wood, 11 plywood mills producing an output of 42,000 cu.m, one fibre board mill producing 1000t, and wood working units producing an output of 180,000 cu.m. By 1980s, wood industry had grown to a conspicuous level and become central to an export-oriented forestry development. During 1987 the plywood industry provided about 56% of the sectoral value added; sawmilling provided 21% and pulp and paper 10%. Industrial log production in 1988 was about 32 million cu.m (up from 2 million cu.m in 1962). Some 96% of the industrial logs came from natural forests. In the densely populated parts, wood needs are partly met from non-forest sources, such as plantations of rubber/coconut and home gardens. Foreign exchange earnings from export of forest products in 1989 amounted to about US$ 4 million. It reached US$ 8.5 billion in 1998. By the year 1999/2000, the structure of wood-based industry was made up of some 4,400 sawmills of various sizes and categories (with an annual capacity of about 19.0 million cu.m), some 120 plywood mills (of an annual capacity of 11.1 million cu.m), 39 particle board mills, 102 block board mills, 13 chip mills, 2 MDF units, 81 pulp and paper mills (with an annual capacity of 5.23 million tones of pulp and 9.12 million tones of paper), and a large number of secondary processing units (producing moulding, furniture, chop sticks, match, pencil etc). Sawmilling and pulp and paper capacities are concentrated in Sumatra, and panel products in Kalimantan. Reported current size of capital assets in wood-based industry in Indonesia is about US$ 27.8 billion, giving employment to some 3.85 million persons (direct employment 2.35 million and upstream/downstream indirect employment 1.50 million), thus supporting the livelihood of an estimated 20 million people. The evolution of the structure and growth of the sector has three distinct phases. The first was focused on timber extraction and the attendant export of logs in the period 1967-79. These exports generally accounted for about 75% of the harvest and at that time were second only to oil in terms of foreign exchange earnings. The second phase began with the progressive log export ban in 1979 (which was completed by 1984) and was based on the objective of securing further processing of the timber resource. The third phase saw the rapid development of the pulp and paper sector over the past 10 to 15 years. To a large measure this was driven by the growth in domestic demand. In spite of the apparent growth, the wood processing industries are now faced with major problems. Generating disproportionately high processing capacity based on unrealistic assumptions of external and domestic demand for products and consequently demand for forest raw material far in excess of the sustainable supply potential, has been one of the reasons for the present forestry crisis in Indonesia. The problem is made complex by the large number of illegal/unlicenced mills which have sprung up close to the forest areas, using wood sourced from illegal logging based on wasteful technology. And, along with decrease in the reported production of wood, output of mechanical wood industries are also showing a falling trend (Table 11). Table 11. Reported production of manufactured wood products (million units) in Indonesia Production/Year Sawnwood (cu.m) Wood-based Panels (cu.m) Plywood (cu.m) Wood Pulp (Tonnes)
1990
1996
2000
9.15 8.62 8.25 3.63
7.34 10.13 9.58 2.48
2.43 8.43 7.20 0.70
Source: FAO Year Book of Forest Products
Against the reported production of manufactured wood products, there are a number of estimates of actual output (including the production of illegal/unlicensed mills) and the corresponding requirement of
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Sustainable Management of Tropical Forests – Private Sector Experiences wood raw material. An estimate of MOF shows that wood intake to meet legal installed capacity of woodbased industries would require 63.5 million cum. Yet another report (ITTO, 2001) estimates that there is a gap of over 50 million cum of wood per year between industry’s demand and supply. The total raw material demand for timber industry is estimated to reach about 72 million cum/yr, with the following details: a) * * b) c)
Sawmill Without permit : With permit : Plywood : Pulp and paper :
± ± ± ±
8 million cum/yr. 22 million cum/yr. 18 million cum/yr 24 million cum/yr
Inspite of the differences in the estimates, the serious imbalance between the supply and demand for wood raw material has been clearly brought out. Over-capacity of Indonesia’s wood processing industries has been an important factor driving the high level of deforestation and forest degradation in the country. As the raw material situation changes, as the national policy demands balanced regional development, as domestic demand for processed products in terms of quantity and variety changes resulting from population and income changes, and as the country faces competitition in the export market, it will be necessary to suitably modify the structure, if Indonesia’s forest-based industries are to retain their important role in the future. e. Deficiencies in Concession Performance Assessment of concession performance by MOF and the Ministry of Population and Environment in the past (FAO/MOF, 1990b) had indicated that only less than 20% of the concessions could be considered as maintaining an acceptable standard. Over the years, some 128 concessions are reported to have been cancelled. But this does not deter the operators, as the groups which control several concessions seem to have their own ingenious ways of circumventing the official orders and regain control of the area. The Forestry Studies carried out by FAO found that, many, if not most, of the shortcomings encountered in the management and utilisation of concession forests may be attributed to the non-compliance of prevailing regulations, rather than to any inherent weaknesses of the concession system (FAO/MOF 1990a). i. Irregularities The irregularities happening in concession forests can be categorized as inadequate management, mis-management, and illegal logging. Some examples of inadequate management are lack of (and non-maintenance of ) concession and FMU boundaries, lack of fire protection measures, and lack of maps and inventory information. Mis-management can be seen in the removal of trees against silvicultural principles (“picking the plums out of the cake”), causing damages to the standing crops and degradation of the forest. Another aspect of mismanagement involves cutting from areas outside the prescribed felling area, which is facilitated by the awarding of an area on 20 year concession, to be managed on a cutting cycle of 35 years. A recent ITTO Mission to Indonesia (ITTO, 2001) has surmised that the serious flaws of the HPH system appears to be the source and strength of illegal logging in Indonesia. To quote ITTO (2001): “more than three decades after the policy on Indonesia’s forestry was set, the state of the country’s forest is increasingly disheartening. The most glaring aspect of the present situation of Indonesia’s forestry sector is the unsustainable management of forests under the current forest management system, particularly of the logging concession system. This in turn has led to deforestation (annual rate of about 1.3 million ha), wasteful logging, environmental degradation, illegal activities and increasing incidence of injurious factors such as forest fires and falling productivity of both natural forests and plantations.” Forests have also suffered qualitative degradation. During 1990-2000, stock of woody biomass fell from 203 t/ha to 136 t/ha (FAO 2001b). Lack of concerted efforts to scientifically manage and adequately regulate logging has been at the root of many of the problems troubling the forestry sector. The system of logging concessions as practiced in Indonesia has raised complex (and yet unresolved) issues relating to the corporate responsibility to the society, because, many of the values of the forests are not internalized by the private companies.
Sustainable Management of Tropical Forests – Private Sector Experiences Starting from October 2002 through to end of December 2003, the MOF has arranged to have 296 logging concessions audited through 12 selected independent consultants/auditors. Based on the result of the assessment, the Government will decide whether to revoke the concessionaire’s licence or allow them to continue their operations. Illegal logging has been present in the past, as stray cases of forest offence, but it was not of any serious scale. In the recent past, however, illegal logging has become widespread; it has assumed massive proportions and a major problem to be reckoned with. Estimates of quantity involved in illegal logging in Indonesia, as the difference between legal/reported logging and the estimated ‘real’ use of logs ranged between 30 and 50 million cum annually. The components of the estimates include (i) log input outside legal source for meeting the needs of legally established processing units, (ii) logs used in illegal/unlicenced processing units, (iii) logs involved in illegal cross border trade and exports and (iv) unrecorded consumption by local people. The main actors involved in illegal logging are concession holders, illegal log buyers, investors looking for quick profit, businessmen who collude in trade of illegal logs and unscrupulous elements in enforcement agencies.
ii. Low Rent Capture In 1997-1998, the rent capture in logging concessions was between 24% and 36% (average 30%), leaving a windfall of 64% to 76% to the concessionaires. (ITTO, 2001). f. Concessions Other than for Logging A recent count indicated that there some 644 concessions relevant to forestry, comprising of the following: logging concessions (HPH) 408; industrial timber estate (HTI) 176 (29 HTI-Pulpwood, 80 HTI-Mechanical Wood and 67 HTI – Transmigration); reptile trading 24; coral concessions 18; NWFP concessions 10 and recreation concessions 8. g. Timber Certification and LEI LEI (Indonesian Ecolabel Institute) was established in 1993 as an independent body. LEI has developed C&I for the auditing of forest management in logging concessions, as well as ecolabelling of products from these concessions. The LEI system is based on the ITTO guidelines for SFM. LEI has recently developed a log audit system, as a means to minimize illegal logging and related irregularities. This system (derived primarily from LEI’s Chain of Custody Certification system, which in turn complements the ongoing certification for sustainable natural production forest management) is to be implemented through accredited certification bodies. COC is a critical part of certification system; it bridges forest management unit as producers and the public as the consumers. Besides fulfilling consumers preference, COC can be used by forestry business actors to enhance operational efficiency. Regionally/nationally, COC can be used by governments to identify legal status of forest products (timber). The LEI’s Chain of Custody Certification system is prepared as a general guidance to the parties involved in the certification system such as government, consumers, forestry business, field assessors, certification bodies, and expert panels. h. Post – Reform Forestry The reform process and decentralization initiated in 1998 have impacted negatively in the forestry sector, for lack of clarity in regulatory instruments and total lack of preparation for a smooth transition. As a result, illegal logging and deforestation continues unabated, and in certain cases on an increasing scale. This has also caused disruption in implementation of several concession agreements. i. Sectoral Constraints The underlying causes for the current critical situation of forestry are also the major constraints facing the sector. Some of them have already been touched upon in the foregoing paragraphs. These, among others include: illegal logging; forest fires; inadequate forest management; poor condition of forest plantations; deforestation and forest degradation; inadequate performance of concession companies; distortionary
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Sustainable Management of Tropical Forests – Private Sector Experiences subsidies; failure to capture rent of wood resources; wasteful logging and processing; structural deficiencies and inefficiencies of the forest industry sector; indebted nature of forestry enterprises; influence of cartels in trade; breakdown of law and order situation; land tenure issues and unsettled land claims; inefficiencies of public forest administration; inadequate human resource and skill base; neglect of traditional rights and privileges of indigenous community; inter-sectoral rivalries (or lack of co-ordination); lack of adequate forestry research; inadequate involvement of stakeholders; weak, inconsistent and vague forest policy(ies); contradictions and confusion created in the aftermath of decentralization and political reforms; corruption, collusion and nepotism; inadequate monitoring and evaluation; lack of political commitment and defects of governance. WRI (1999) estimates that by the turn of the century, Indonesia has lost 72% of its original forest cover and 54% of the remaining forests are threatened. Overexploitation and poor management imperil Indonesia’s forest resources and threaten the food security and livelihoods of the communities whose existence is intimately linked to natural resources. While illegal logging, controlling a major portion (an estimated 50-70%) of wood production in the country, is the most conspicuous outward manifestation of forestry crisis, the main breeding ground for these constraints essentially is the decayed governance devoid of accountability, transparency and participation. Well before the country’s ongoing decentralization process began in late 1998, Indonesia’s forestry sector had entered a period of crisis. All these negative impacts manifested itself inspite of: the existence of forestry laws and regulations, Indonesian Forestry Action Plan (IFAP), Consultative Group of Indonesian Forestry (CGIF), and the continuous presence of ODA. Also, talk about crackdown on forest/environmental crimes, multisectoral task forces to streamline systems and strategies etc etc have been going on for too long, without meaningful action. j. To Conclude Inspite of the current crisis, the private sector can play an important role in sustainably managing the forests of Indonesia. However, to ensure good performance by the private sector in state forests, the resources should be properly priced, continuity of tenure should be ensured, and agreed conditions and regulations should be strictly enforced. (Source: FAO/MOF, 1990a; FAO 1998b; FAO/RAP 1999; Chrystanto & Justianto 2002; ITTO 2001)
5.7.5
Malaysia
a. Forestry Situation Total forested area in Malaysia as at the end of 2001 was estimated to be 20.20 million ha or 62% of the total land area, which account about 0.85 ha of forest area per capita6. Of this total, it is estimated that some 17.91 million ha are the inland Dipterocarp forest, with the remaining 1.46, 0.58 and 0.25 million ha being fresh water swamp, mangrove swamp and plantation forest respectively. The inland Dipterocarp forests could be further categorized into lowland Dipterocarp, hill Dipterocarp, upper Dipterocarp, lower montane and upper montane forests (MPI, 2002). The distribution and extent of forest areas by major types and regions are as shown in Table 12. The Dipterocarp forests which represent 88.7% of the total forested area are characterized by the predominance of the family Depterocarpaceae with many species of the genera Anisoptera, Dipterocarpus, Dryobalanops, Hopea, Shorea and Parashorea. Malaysia has been acknowledged as one of the most important centers of plant diversity in the world. The presence of high species diversity in the natural forest also meant that there is a wealth of forest products to be harvested. Malaysia’s protected area system extends over 5.22 million ha. Over the years, Malaysia has earned the reputation as a nation committed to scientific and sustainable forest management.
6
FAO’s Forest Resources Assessment 2000 gives the area of forests in Malaysia as 19,292, 000 ha, representing 58.7% of land area.
Sustainable Management of Tropical Forests – Private Sector Experiences Table 12. Distribution and extent of major forest types in Malaysia, 2001 (million ha)
Region
Land Area
Peninsular Malaysia Sabah Sarawak Malaysia
13.16 7.37 12.30 32.83
Dipterocarp Total Swamp Mangrove Plantation Forest Forested Forest Forest Forest Land 5.46 3.81 8.64 17.91
0.30 0.12 1.04 1.46
0.11 0.34 0.13 0.58
0.07 0.15 0.03 0.25
5.94 4.42 9.84 20.20
Percentage of Total Forested Land 45 60 80 62
Source: MPI (2002)
b. National Forestry Policy Under the Malaysian Constitution, land is defined as a state matter and is thus under the jurisdiction of the respective State Governments. Each State is empowered to enact laws on forestry and to formulate forest policy, independently. The executive authority of the federal government only extends to the provision of advice and technical assistance to the states, the maintenance of experimental and demonstration stations, training and the conduct of research. The National Forestry Council (NFC) established in 1971 serves as a forum for the Federal and State Governments to discuss and resolve common problems and issues relating to forestry policy, administration and management. The National Forestry Policy (NFP) of Malaysia was adopted and approved by the NFC in 1977, and endorsed by the National Government, for the administration and management of its national forest. The NFP was revised in 1992 to take cognizance of current global concern for the conservation of biological diversity, sustainable utilisation of genetic resources and participation of local communities in forestry. The NFP of Malaysia (1992) has committed: to dedicate, as permanent forest, sufficient extent of land strategically located throughout the country in accordance with the concept of rational landuse; to manage the permanent forests in accordance with the principles of sound forest management; and to promote efficient harvesting and utilization of forest products and development of forest industries. Malaysia has set aside 14.45 million ha of its natural forests as PFE. The PFE is classified and managed under four major functions: protection, production, amenity, and research and education. The strategy of policy implementation is based on the need to maintain sufficient areas of production, protection and amenity forests, while recognizing at the same time that sustained efforts to promote economic activities in the form of secondary and tertiary processing, trading and marketing are equally vital. In the early years, Forest Divisions were established with a view to facilitate administration and management of the resources; and Forest Divisional Working Plans were regularly prepared for a duration of about 10 to 15 years. Working plans for FMUs were being formulated based on the policy of sustained yield and multiple use, within a wider legal framework covering the forests, wildlife, national parks, natural resources and environment. FMU management is also compliant to relevant international standards and conventions. Currently an area of 14,040,000 ha representing 72.7% of all forests in Malaysia are covered by Forest Management. In an endeavour to ensure SFM, compatible with resource conservation and environmental protection, Peninsular Malaysia adopted a “Forest Management Policy and Strategy” in 1976, as a supplement to the National Forest Policy. Sarawak has been implementing forest management under sustained yield concept. Sabah has also adopted similar strategies and practical measures to ensure sustainability of the forest resource. c. Forest Management System As part of forest management, harvest operations on a smaller scale has been going on for many years in the lowland Dipterocarp forests of Peninsular Malaysia, peat swamp forests of Sarawak and the tropical rain forests of Sabah. The main silvicultural system in use was the Malaysian Selection System, a variation of the classical selective cutting system. The Malaysian Selection System was one of the oldest forest management systems used in the tropics and has served as a model for many other countries. However, with the increasing utilisation of lesser known species and greater mechanisation, harvesting in the natural forest started to result in forest degradation. This was often exacerbated due to poor harvesting techniques.
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Sustainable Management of Tropical Forests – Private Sector Experiences The Malaysian Selection System was replaced by Malaysian Uniform System, a variation of the classical shelterwood system, in the 1950s. Malaysian uniform system was designed in response to the introduction of mechanized extraction and the shift in market demand from slow growing shade tolerant, heavy and durable hardwoods to lighter timber species. This proved to be one of the most effective tropical silvicultural systems, particularly to manage the highly productive lowland Diptercarp forests of Peninsular Malaysia. However, this was found to be unsuccessful in hill Dipterocarp forests because of the more difficult terrain and uneven stocking. With logging operations moving into the hill Dipterocarp forests, a modification of the system was necessary. Also, the technological innovations and sophistication in wood processing rendered a lot of the presently uncommercial timber species marketable. Consequently, a new Selective Management System (SMS) was introduced in 1978 to allow for more flexible timber harvesting regimes. The conservational forest management approach adopted under the SMS is expected to have the following beneficial effects: I) conservation and sustainability of the forest resource; ii) minimal reinvestment in forest rehabilitation work; iii) enhanced environmental stability and quality; iv) reduced logging wastage; and v) improved utilization of the forest resource. A post-felling forest inventory is carried out in logged-over areas 2 to 5 years after felling operations have ceased in order to assess the stocking and distribution of the remaining stand and to enable the prescription of appropriate silvicultural treatments. This inventory is carried out using ‘systematic-line-plots’ with a 10% sampling intensity. Logged-over areas that are adequately stocked with natural regeneration of preferred species but are facing crown competition and infestation by climbers will be silviculturally treated. For logged-over areas that are poorly stocked with natural regeneration of preferred species, enrichment planting is carried out. To further enrich the logged-over areas in the PFE, rattan planting along cleared lines at spacing of 3m X 6m is carried out regularly by the various Forestry Departments. The main species planted are Calamus manan (rotan manau) and C.caesius (rotan sega). Rattan is the second most important produce from the natural forests. There are 8 genera and 104 species of rattan found in the tropical forests of Peninsular Malaysia. d. Mangrove Management The mangrove Forest of Peninsular Malaysia has been successfully managed by the various State Forestry Departments for the production of charcoal, poles and firewood based on sustained yield principles. The rotation varies from 20 to 30 years, for example, in Perak, a 30-year rotation is adopted while in Selangor and Johore rotation lengths of 25 years and 20 years are adopted respectively. Mature trees are clear-felled in batches of several hectares in area, and usually only trees above 7.5 cm diameter are removed. Logged over mangrove forests lacking in natural regeneration are replanted mainly with Rhizophora apiculata. e. Forest Plantations Malaysia has taken up programmes to raise forest plantations to reduce the pressure on the natural forests. Plantation forest has become increasingly important although the emphasis is still on the regeneration of the natural forest. Commercial establishment of forest plantations was undertaken as early as 1957 with the planting of Tectona grandis (teak) in the northern states of Perlis and Kedah where 1,726 ha of plantation has been established. Since then, the programme has been widened to include other fast growing species, with Acacia mangium, Gmelina arborea, Paraserianthes falcataria being the major species and Eucalyptus deglupta, Pinus and Araucaria species being the minor ones planted. At the end of 2001, the total area of forest plantations in Malaysia amounted to 0.25 million ha7, with 0.07 million ha being located in Peninsular Malaysia, and 0.15 million ha and 0.03 million ha being established in Sabah and Sarawak, respectively. These plantations provide general utility timber and are aimed to supplement timber supply from the natural forests (MPI, 2002). i. Planting of Fruit Trees A variety of fruits are found in the natural forests. These include, among others, Parkia speciosa (petai), Durio zibethinus (durian), Mangifera species (macang), Pithecellobium jiringa (jering), P. bubalinum (kerdas) and Baccaurea species (tampoi). The demand for such fruits has been on the 7
The area under forest plantation in 2000, in Malaysia has been noted as 1,750,000 ha in Forest Resource Assessment 2000 (FAO, 2001). This, however, appears to be inclusive of rubber plantations.
Sustainable Management of Tropical Forests – Private Sector Experiences increase in spite of their high prices. In that context, fringes of the PFEs which are in the vicinity of rural villages are planted with various fruit trees and the villagers themselves are employed by the Forestry Departments to plant these trees (MPI, 2002). f. Logging Operations All logging operations are carried out by contractors operating either on the basis of a long term logging agreement or short term licences. Large concessions are normally granted under legally binding agreements between the respective State Governments and the entrepreneurs. The larger concessions are usually tied to wood based industries and some of them cover periods of upto 30 years. Licenses and permits used to be granted commonly to independent loggers who undertake logging themselves or subcontract it to logging organizations, independent of or linked with processing units. In Sarawak, logging in the past was concentrated in the peat swamp forests where the “kudakuda” conveyance system and rail transport were used. There has since been a gradual increase in the dryland and hill logging, using tractor equipments. A significant portion of timber operations in Sabah is under the control of Sabah Foundation, a quasipublic enterprise. Logging concessions have proliferated since the early 1970s. Logging technology in Sabah has advanced from the more simple manual logging to light mechanization, and more recently to heavy mechanization. The general logging method in practice is: tree felling by power saws, yarding and skidding by tractor, hauling to rivers by trucks and towing of rafted logs to shipping points. In Peninsular Malaysia forest harvesting is generally carried out by a combination of crawler tractor, winch lorry and wheeled skidder. More than 90% of the logs extracted in Peninsular Malaysia are by crawler tractors. Logging is strictly controlled by the respective State Forestry Departments through their local offices. Size limits, intensity of extraction, logging sequence, methods of treatment, transport routes, standards of roading etc. are generally stipulated in the logging licences/permits. In the 1960s and 1970s, in spite of the regulations, logging tended to be wasteful. One reason for it was the market preference for certain high quality tree species. Profit was the main concern of loggers. This situation developed particularly with the large-scale land clearance for agricultural development, in the sixties. The number of concessions and the area of logging increased considerably. Even while additional land clearances for agricultural development was going on, the regular logging operations in the forest reserves were kept up. Logging also took place in State forest lands which are not to be cleared immediately for agriculture. The timber boom made the market to be very selective of the quality of timber. This in turn resulted in reduced percentage of utilization and increased logging wastes. Some of the ‘not so valuable’ tree species, which earlier had a market, were either left in the forests after felling, poisoned or burned. A report in the Economic Bulletin (August 1976) estimated annual timber wastes in Malaysia to be more than 100 million cubic feet (2.83 million cum), of an export value of not less than M$ 500 million. It goes to the credit of the profession that the temporary trend has been effectively reversed, and directed towards sustainable forestry8. i. Forest Harvesting Codes To further supplement the forest management and harvesting plans, the Forestry Departments have adopted regulations and guidelines for sound forest harvesting. These include ‘Standard Road Specifications’ and ‘Forest Harvesting Guidelines’ with special emphasis on environmental conservation measures. These regulations and guidelines are incorporated into harvesting licences issued to logging contractors, and their implementation is closely monitored and supervised by Forestry Department personnel. Model Codes for forest harvesting has been introduced in several cases. The successful results of the low-impact logging study have been widely used in Sabah and Sarawak. In the helicopter logging undertaken in Sarawak, the damage to surrounding trees was found to be lower than under the conventional system. Moreover, land erosion caused by road construction and impact on water quality were also minimized. To further mitigate the effects of timber harvesting, RIL is promoted, whereby the 8
FRA 2000 (FAO 2001) indicates that significant deforestation and forest degradation have been taking place in Malaysia. Between 1990 and 2000, estimated annual forest cover change has been –237,000 ha, representing an annual deforestation of about 1.2%. The estimated woody biomass in forest which stood at 261 t/ha in 1990 has fallen to 205 t/ha by 2000.
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Sustainable Management of Tropical Forests – Private Sector Experiences operations include controlling the number of trees to be felled, timber tagging, directional felling, leaving of buffer zones and the controlling of road density. Sabah is currently assessing the optimal cutting limits for cost-effective RIL operations in the Deramakot Forest Reserve. g. Joint Management of Sabah FMUs New opportunities for joint activities between government and the commercial private sector have been made possible through a recent initiative of the State Government of Sabah. In September 1997, the government established 27 FMUs, with the objective of ensuring SFM in the state. Each FMU is about 100,000 ha in size and management agreements with private companies will offer secure tenure for 100 years. The FMUs are generally logged-over areas or forests currently under logging. The private sector is invited to participate in the management of these FMUs using long-term SFM principles, including development of conservation, natural forest management and forest plantations. Forest management plans must be prepared and approved by the Forestry Department. Similarly, specific plans for harvesting, reforestation and other activities have to be prepared for approval by the Forestry Department before being implemented. h. Non-forest Sources of Wood The rubber plantations of Malaysia form an important source of wood. Rubber is managed on a rotation of about 30 years and it results in clear cutting (for replanting) of about 60,000 ha of rubber plantations annually. Rubber wood has been found to be suitable for pulp manufacture, furniture making, packing cases, etc. Rubber wood furniture has already captured an attractive market in the industrialised countries. i. Forest Industry Development The main forest industries in Malaysia are sawmilling, plywood/veneer manufacture, wood moulding and furniture manufacture. Others include secondary and tertiary processing industries such as timber treatment, kiln drying, prefabrication of wooden houses, laminated boards, boxes and crates, pencils, safety matches and parquet flooring. In addition, Malaysia also produces a variety of wood-based panels other than plywood. These include blockboard, chipboard, moulded particle board and medium density fibreboard. Forest industries in Malaysia, until recently, were driven primarily by resource supply advantage. The availability of raw material supply at competitive prices, relatively low labor costs and favourable international prices created positive conditions for its growth. However, this development resulted in the building up of excess capacity especially in the saw milling and plywood/veneer sub-sectors. This problem is further aggravated by the declining supply of raw material. Hence, the survival and sustainability of these sectors would greatly rely on their ability to overcome the inherent problems of log supply, adoption of new and improved technologies, utilization of smaller diameter logs and lesser-known species and the restructuring of the industry itself. In addition, with the evolution of technologies, reconstituted wood such as fibreboard, oriented strandboard, blockboard and particle board are expected to become more acceptable. The National Forest Policy clearly outlines the importance of this strategy. In line with the National Forestry Policy, a forest industrial development policy and strategy was formulated and adopted in 1976 with the objective to: i) to promote efficient harvesting and utilization of all forms of forest produce including a wider use of the under-utilized timber species, small dimension logs and forest and mill residues; ii) to attain a rational balance between national industrial processing capacity and resource availability. An important step taken by the Government to promote downstream processing of wood is the introduction of a system of export levies and royalties on forest raw materials. These levies are aimed at ensuring an adequate supply of raw materials for the wood industry and encouraging further processing in the country.
Sustainable Management of Tropical Forests – Private Sector Experiences The Government has also established the Malaysian Timber Industry Board (MTIB) under the Malaysian Timber Industry Board (Incorporation) Act 1973. The Board is made up of representatives from both the private and public sectors. Its functions are: • To regulate and control the trade in, and the marketing and distribution of, timber; • To promote and improve the trade in, and markets for, timber; • To encourage effective utilisation of timber with emphasis on product diversification and to promote improvement and economy in the methods of exploiting and processing timber; • To provide technical advisory services required to assist in the development of existing timber industries and the establishment of new industries; • To organize and assist in the consolidation of the small scale timber industries, and the closer integration of the activities of the timber industries generally, so as to achieve greater efficiency. j. Industrial Master Plan, 1996-2005 It is the Government’s objective to make Malaysia a major producer of high value-added wood-based products in the world market as stipulated under the Second Industrial Master Plan, 1996-2005 (Abdul Razak, 2002; FDPM 2002). In general, the Second IMP focuses on two key elements, namely, the concept of manufacturing plus plus and the cluster-based industrial development. Under the concept of manufacturing plus plus, the focus is on moving beyond manufacturing operations to include R&D, design capability, and the development of integrated supporting industries, packaging, distribution and marketing activities. The cluster-based industrial development approach, on the other hand, would provide the basis for the achievement of a broad-based, resilient and internationally competitive industrial sector. The Second IMP is complementary to the objectives of the NFP. Concerted efforts by both the private and public sectors are essential to ensure the successful implementation of the second IMP. i. Timber Complexes To accelerate efficient development of forest industries, large forest concessions were granted to government corporations and other agencies. Large integrated wood based manufacturing complexes were also promoted. Major shareholders in the timber complexes are the State Governments and/or the Federal Government. Partnerships on a joint venture basis are also encouraged. k. Value-Added Processing In recent years, forest industries have been moving away from the manufacture of low value primary products. The development of secondary and tertiary wood processing industries are being actively promoted by the government. Steps are also being taken to encourage the setting up of small scale rural based industries using forest produces such as rattan and bamboo as raw materials. It is the Government’s objective to make Malaysia a major producer of high value-added wood products in the world market as stipulated under the Second Industrial Master Plan of 1996-2005. l. Non-wood Forest Products Malaysia has given adequate priority to the development of NWFPs and forest based recreational experiences. Currently, research on the possible utilisation of waste from oil palm trunk and palm kernel shell are being conducted to ensure its full utilisation. m. Forest Legislation To ensure effective implementation of the National Forestry Policy, various forestry enactments and ordinances were formulated and enforced by the respective State authorities since 1910. These legislations were further uniformised and strengthened in areas of forest management planning and forest renewal operations, with the acceptance of the National Forestry Act and Wood-Based Industries Act by the NFC in March 1984 and later endorsed by the NLC in September 1984, and passed by the Malaysian Parliament
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Sustainable Management of Tropical Forests – Private Sector Experiences on 17th October of the same year. Currently, these two Acts are being enforced by all the States in Peninsular Malaysia. In tandem with the revised National Forestry Policy, the National Forestry Act, 1984, was amended in 1993 to include more stringent penalties for certain forest offences (i.e. illegal logging and encroachment of forest areas) which include a mandatory jail sentence of at least one year. In addition, the National Forestry Act under section 20 and 24 elaborates on the need to prepare forest management and reforestation plans. Complementing the National Forestry Act 1984 is the Forest Rules 1984, which spells out the format in preparing management and reforestation plans. Actions are currently being undertaken to revise the Wood-based Industries Act 1984. Forestry legislation of Sabah and Sarawak are in tune with the National Forestry Legislation. Malaysia has very tough laws against illegal logging. In 1993, the National Forestry Act was amended and the penalty for the commission of any forest offence was increased from a maximum of RM 10,000 (US $2,630) and/or imprisonment for a term not exceeding three years, to a new maximum of RM 500.000 and imprisonment for a term not exceeding 20 years with a mandatory imprisonment of at least one year. Provisions were also made for the Police and the Armed Forces to undertake surveillance of forestry activities especially in curbing illegal logging, encroachment of forested areas and timber theft. WWF had published two reports in 2001: one on forest law enforcement and illegal logging in Peninsular Malaysia and another a similar report for Sabah and Sarawak. They found that illegal logging in Malaysia was very low estimated at about 1% of the value of forest products. ITTO has just funded a similar study which is now currently underway. This study is being implemented by Traffic International. n. Malaysian Criteria and Indicators for SFM The issues of timber certification and SFM practices are becoming a rising concern. In this regard, forest management in Malaysia has become mutli-faceted in nature, which gives consideration for its environmental roles including conservation of biological diversity, protection of endangered species, carbon sequestration and simultaneous production of several socially desirable outputs, encompassing water, NWFPs and recreational and protection benefits. Since 1994, Malaysia has made considerable efforts in formulating the Malaysian Criteria and Indicators for Sustainable Forest Management (MC&I) based on the elaboration and operationalisation of the ITTO Guidelines for the Sustainable Management of Natural Tropical Forests. Based on the ITTO’s Criteria for the Measurement of Sustainable Tropical Forest Management, the National Committee on C&I has formulated a total of 92 activities to operationalise its 5 Criteria and 27 Indicators at the National level, covering forest resource base, continuity of flow of forest products, level of environmental control, socioeconomic effects and institutional framework. At the FMU level, which is defined as an individual State, the National Committee had formulated a total of 84 activities to operationalise the 6 Criteria and 23 Indicators of the ITTO’s Criteria for the Measurement of Sustainable Tropical Forest Management. The MC&I also feeds into the activities of the Malaysian Timber Certification Council. o. Timber Certification Efforts Since 1994, efforts toward Timber Certification have been adopted by GOM in an endeavor to provide better market access and hopefully higher prices for local timber extracted from the sustainably managed PFEs, at the international market. The Government established the Malaysian Timber Certification Council (MTCC) as an independent body in 1998, to plan and operate the national timber certification scheme. MTCC is governed by a Board of Trustees comprising representatives from the timber industry, NGOs, academic and research institutions and government agencies. Among others, MTCC would undertake to: develop and implement standards related to timber certification; establish and implement a system to oversee and monitor the certification scheme, including appeal mechanisms; establish network and cooperation with national and international bodies related to timber certification; and facilitate mutual recognition arrangements. i. MTCC Timber Certification Scheme The MTCC Timber Certification Scheme began operation in October 2001 using a phased approach. Under the MTCC certification scheme, two types of certificates are issued – the Certificate for Forest
Sustainable Management of Tropical Forests – Private Sector Experiences Management to FMUs and the Certificate for Chain-of-Custody to timber product manufacturers or exporters. The standard currently used for assessing FMUs for the purpose of certification is the MC&I. The standard for chain-of-custody certification used by MTCC is the Requirements and Assessment Procedures for Chain-of-Custody Certification. For the next phase of its certification scheme, MTCC plans to use a new standard that has been developed using the Principles and Criteria of the Forest Stewardship Council (FSC) as the template.9 The MTCC certificates are valid for a period of five years. Certificate holders will be subject to regular surveillance visits by assessors during the period of validity, to ensure that they continue to comply to the requirements of the relevant standards. By mid 2003 three State FMUs (Pahang, Selangor and Terengganu) in Peninsular Malaysia covering a total of 2.31 million hectares of Permanent Reserved Forests have been awarded the Certificate for Forest Management. This Certificate provides the assurance that the Permanent Reserved Forests in these three State FMUs are sustainably managed to the requirements of the MC & I, and the timber is harvested legally. Also, 29 timber companies have been awarded the Certificate for Chain-ofCustody. This Certificate provides the assurance to buyers that the MTCC-certified timber products supplied by these companies originate from the certified State FMUs mentioned above. Certification is supposed to be voluntary but it has become a pre-requisite in some markets, particularly for tropical timber. In this regard, Malaysia’s stand is that timber certification should not be used as a non-tariff barrier as it is against the principle of free trade. The imposition of such a condition will increase the cost of production to developing countries, which unfortunately do not get much of a premium in return, and in some cases no premium at all, for their certified timber. p. Some Constraints Two of the important policies concerned with the conservation and sustainable management of forests in Malaysia are: (i) National Forestry Policy 1978 (as revised in 1992) and (ii) National Bio-diversity Policy 1998. Implementation of these policies involve two ministries, the Ministry of Primary Industries and Ministry of Science, Technology and Environment. The former is concerned with forestry issues and hence implements the National Forestry Policy via National Forestry Act 1984. The latter ministry is responsible for implementing the National Bio-diversity Policy. Dual sectoral responsibility on the same resources, and lack of coordination often make implementation difficult. The situation is complicated as forest land resources are “state matters”, where the federal government has only limited influence, whereas wildlife is a concurrent subject In the process of implementing these two important forestry-related policies, Malaysia faces a number of challenges. Basically, it concerns the manner in which such federal policy can be effectively implemented at the State government and department levels. Also, the current legislative framework has some restrictions from the view point of effective conservation and management of biological diversity, thereby causing some deficiencies. These deficiencies include: • absence of an integrated approach across the sectors, due to the limited scope of various enactments in relation to biological diversity conservation; • lack of consideration of the overall objectives of biological diversity conservation; and lack of comprehensive coverage of biological diversity issues. (Source: Abdul Razak, 2002; ADB 1997; FAO 1997(b,c), MPI 2002, FDPM 2002)
5.7.6 Myanmar Myanmar is the cradle of the tropical forest management systems of the past. Natural teak is an important component species in the mixed deciduous forests, which is one of the pillars of the country’s economy. In Myanmar, systematic management of the natural forests dates back to 1856. a. Forest Resource About 19% of the area of Myanmar is under permanent forest estate. The important forest types and their share as percentage of the total forest area, are as follows: 9
In addition to the cooperation with FSC, since November 2002, MTCC has become a member of the Pan European Forest Certification (PEFC) Council, and is currently taking steps to submit its scheme for endorsement by the PEFC Council. MTCC has also been actively involved in the initiative among the ten member countries of the Association of South East Asian Nations (ASEAN) to establish a Pan ASEAN Timber Certification Scheme.
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Sustainable Management of Tropical Forests – Private Sector Experiences Mixed Deciduous Forest Hill and Temperate Evergreen Forest Tropical Evergreen Forest Dry Forest Deciduous Dipterocarp Forest Tidal Swamp Forest
: : : : : :
39 26 16 10 5 4
b. Planning for Forestry Development Planning for forestry development at the national level is covered by the National Forestry Action Programme and the Five year Development Plans. Myanmar has recently completed the formulation of its NFAP which addresses all major issues comprehensively. It deals, inter-alia with policy issues, sustainable production, satisfying basic needs, institutional strengthening, efficiency through work audit, protection of forest and bio-diversity and participatory forestry. In the five year plan just concluded (1996/97 – 2000/01), objectives specified are to: extend and conserve reserved forest areas; decrease teak production; increase hardwood production; increase charcoal production; increase bamboo production; increase the total value of forest products exports; expand woodlots and plantations; conserve mangroves and watersheds; explore alternative sources of fuelwood; promote forest-based eco-tourism; and promote and support production of value-added products. Special emphasis is being given to greening programme in the dry zone in order to prevent desertification, and to meet critical fuelwood needs of the rural people. In the agriculture-based economy of Myanmar, forestry is important for its economic and ecological contributions. In all the territorial administrative units within the country, sustainable production and utilization of forest products (wood/fuelwood, NWFPs) has been a prime objective. All production forests of the PFE are managed on the basis of Management or Working Plans of Forest Divisions or FMUs which are subdivided into working circles (e.g. production working circle; plantation working circle; local supply working circle; non-wood supply working circle). At the operational level plans are prepared on annual basis – e.g. logging/harvesting plans. Manuals/guidelines are available for preparing the different planning documents. c.
Silvicultural System for Natural Forest Management
The country adopted an exploitation-cum-cultural system first known as the Brandis Selection System and later modified into the Burma Selection System or Myanmar Selection System (MSS). The experience of over a century has manifested the system’s sustainability and environmental friendliness. The system involves: felling cycles of 30 years, fixing annual harvest levels based on the Brandis formula, size limits on trees to be felled, girdling to mark exploitable trees and reduce moisture content, enumerating trees left after harvest, and skidding of logs with elephants. Congested stands are thinned and other species of trees interfering with the growth of teak are removed. Special silvicultural treatments are applied in bambooflowering areas. An important attribute is the respect for, and compliance to, AAC, based on the principle of sustained yield management in both teak and other hardwood stands. The system also prescribes post harvest operations such as improvement felling, enrichment planting, tending, fire protection and so on. Logging activities are guided by the “National Code of Forest Harvesting Practices” which includes detailed guidelines for all relevant activities – e.g. alignment and construction of extraction roads, skid trails, stream crossings; marking of tree position in maps; climber cutting before felling; and directional felling of selectively marked trees. In the interest of economy, teak and non-teak hardwoods are simultaneously harvested. Elephants are used for skidding. d. Hardwood Plantations Myanmar has a long tradition of raising plantations. Attempts for raising teak plantations under taungya system was made in 1856. Other commercial species planted include: Xylia spp, Padauk (Pterocarpus spp), Pines, Eucalyptus spp, and others. Current area under forest plantation is about 821,000 ha, 42% of which is represented by teak. The annual planting programme is now fixed at around 32,000 ha.
Sustainable Management of Tropical Forests – Private Sector Experiences e. Major Products Forest production consists of teak and non-teak hardwood, posts, poles, fuelwood and charcoal, bamboo, rattan and NWFPs. Roundwood production in 2001 amounted to 38.4 million cum of which only 2.95 million cum was industrial roundwood (including 2.7 million cu.m of saw logs). About one million cum of industrial wood was exported in the round. Myanmar, in 2001, produced 671,000 cum of sawnwood and 54,000 cum of panel products; 279000 cum and 45,000 cum respectively of these products were exported. Contribution of forestry, to the export earnings of the country was 32.11% in 1993-94; and it is known to be maintaining a high share of about 30%. Inspite of the substantial contribution of forestry to the country’s exports, sectoral growth in forestry has been showing a negative trend. It was – 4.5% in 1995-96, against a GDP growth rate of 9.8%. The contribution of forestry to GDP was only about 1.0% in 2000. f. Conservation Myanmar Agenda 21 has incorporated measures for in-situ and ex-situ conservation of genetic resources and for protecting bio-diversity including endangered species of flora and fauna. There are 34 PAs in Myanmar with a total area of 2.46 million ha. In-situ conservation is to be implemented in all PAs. g. Community Participation In order to promote and facilitate community participation in managing the forests, “Community Forestry Instructions” was issued in late 1995, focusing on the management of forests by rural communities through the protection of natural vegetation, establishment of forest nurseries and forest plantations so as to enable them to fulfill their own basic needs for fuelwood and small timber. It also focuses on the flow of benefits to the communities participating in forest management activities. h.
Policy and Institutions i. National Forest Policy The Myanmar National Forest Policy of 1995 underlines the need for: sustainable production, satisfying basic needs, institutional strengthening; efficiency through work audit; protection of forests and bio-diversity; and participatory forestry. The policy stipulated that the area of forest reserves be increased to 30% from the present level of 14.8% of the land area, and the protected area system to 5% from 1.4%, in order to permanently dedicate enough land to forestry. The important instruments for implementing the Myanmar Forest Policy 1995 are the following: • • • • •
Forest Law, 1992 Forest Rules, 1995 Protection of Wildlife and Wild Plants and Conservation of Natural Areas Law 1994 Community Forestry Instructions 1995 Myanmar Agenda 21 together with Environmental Policy
Legislation on Forestry and Wildlife Conservation has adopted a holistic approach by conserving habitats, which is pivotal to the conservation of wildlife. The new Forest Law emphasizes the importance of people’s awareness and participation in the conservation and sustainable utilisation of forest resources, as well as of the collection and updating of the resource information, planning, continuous monitoring of all forest operations, and of maintaining ecological balance and environmental stability. NGOs such as Farmer’s and Women’s Income Generation Groups (FIGG) are being formed. This initiative aims at raising off-farm incomes and helping SFM with positive effect on the social well-being. ii. Organisational Structure Involvement of private sector is limited in the forestry sector of Myanmar. Ministry of Forestry is responsible for public forest administration in the country. The organizational structure consists of the following components:
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Sustainable Management of Tropical Forests – Private Sector Experiences • Planning and Statistics Department. Government organization, part of MOF, responsible for policy and co-ordination. • Forest Department. Government organization, part of MOF, responsible for policy and programme implementation, protection and conservation. • Myanmar Timber Enterprise (MTE). Government organization, part of MOF, responsible for harvesting, milling, downstream processing and marketing. (Timber concessions were discontinued in Myanmar in 1993) • Dryzone Greening Department. Government organization, responsible for reforestation and restoration of the environment in central dry zone. • National Commission on Environmental Affairs. Government agency • Forest Resource, Environment Development and Conservation Association. NGO • Forest Products Joint Venture Corporation Ltd. NGO or quasi-government organization, carrying out milling and marketing of timber purchased from MTE. • Timber merchants Association. NGO involved in timber trade and value added production. Initial adoption of a market economy in the country was announced in September 1988. As a result, many private timber companies became involved in timber industries. However, for teak timber, MTE has a monopoly in its harvesting, processing, and export. With a view to stepping up manufacturing of forest products, and to promote internal and external distribution, the Forest Products Joint Venture Corporation Ltd. has been jointly established by Myanmar Timber Enterprise, Forest Department and private enterprises. The private companies are faced with several problems: shortage of power supply, spare parts, and diesel oil etc. Since the private sector in forestry is in its infancy, it needs protection, care and assistance for healthy growth. To promote market economy, the Government formed the Privatisation Commission in January 1995, to oversee and ensure the successful implementation of the privatization process. i. Constraints In achieving SFM, Myanmar faces several serious constraints: chronic budget shortages of the Forest Department; limited private sector involvement; insufficient manpower resource; limited knowledge on how to promote marketing of lesser known and lesser used species; shifting cultivation; forest encroachments; rural poverty; lack of a stringent national land use plan; weak infrastructure; illicit cutting and poaching; soil and watershed erosion causing floods and reduced agricultural output; inefficient utilisation. In addition to the above, Myanmar has a typical problem arising from issues faced by the neighbouring countries. The Thailand Government imposed a ban on logging in 1989. This induced illicit timber cutting in the border areas of Myanmar. Due to population density, the demand for forest products in Southern China could not be met, which caused heavy pressure on forests in northern Myanmar. These problems are not only causing degradation of timber resources in Myanmar, but are also threatening the conservation of biodiversity, particularly of wildlife, calling for a joint border conservation programme. [Sources: FAO 1997h; FAO 1999a; U Myat Thinn: Personal Communication, April 2002; Global Witness 2003]
5.7.7
Papua New Guinea
a. The Economy Bulk of the population lives in rural areas, fragmented by rugged terrain and inadequate infrastructure, and relies heavily on subsistence and small-scale agriculture. Outside the towns and urban areas, people follow a largely traditional lifestyle and grow or gather/catch most of their own food. Agriculture is the dominant sector of PNG’s economy, accounting for 35% of GDP, 40% of exports and providing the main source of livelihood for 85% of the population. Cocoa, coffee, palm oil and timber are important export commodities. Mineral and oil export also contribute significantly to the income of the country. Mineral (gold, copper) and petroleum sectors contribute 20% of the country’s GDP. Per-capita GDP in PNG on PPP basis was US $ 2,367 in 1999.
Sustainable Management of Tropical Forests – Private Sector Experiences However, a national survey had estimated that about 37% of PNG population does not earn “povertyline-based” cash income needed to purchase food to provide sufficient energy intake – i.e. K461 per year per adult (PNG-FA/NFS, 2002). Standard economic indicators show PNG to be a middle-income country, yet social indicators reveal a picture more characteristic of a typical low-income country. The economy is highly dependent on the export of raw materials, and is vulnerable to external price shocks. Many factors conspire against industrial development in PNG: high operating costs; high wage costs; dearth of skills; small domestic market; “law and order problems”; and cumbersome government approval processes. The decline of agricultural export prices encouraged the search for alternative sources of cash income, and enclave economies have evolved around extractive industry – mining, petroleum and logging – which create very unequal patterns of development. This is exacerbated by the government’s habit of passing resource rent to only a few resource-owning communities. (Filer and Sekhran, 1998). PNG is well endowed with tropical forest resources. It is an important tropical timber producer. Approximately 85% of its land area is classified as forest. The ecological and bio-diversity value of PNG’s forest is enormous, with a rich diversity of Malay and Gondwanaland flora and fauna. The forestry sector plays an important role in the subsistence economy of the rural population. It is a major source of food, provides fuelwood for rural energy needs, and meets other domestic consumption requirements. Population pressure on the highland areas has created local shortages of fuelwood and other forest products. b. Forest Resource According to Forest Resource Assessment 2000 (FAO, 2001d), area under forest in PNG is 30,601, 000 ha. representing 67.6% of the landmass, with a per capita forest area of 6.5 ha. Average wood volume in the forest has been estimated as 34 cum/ha and wood biomass 58 t/ha. PNG’s forests are the home to much of its bio-diversity, and harbour 5.7% of the world’s biodiversity. These forests range from cloud and montane forests in the highlands to mixed evergreen forest in the lowland and mangroves near the coast. Less than 4% of PNG’s land area has PA status. (The government is said to have the intention to create a system of PAs covering 20% of the country’s land area). Currently there are 33 government declared PAs under different categories – Wildlife Management Areas, National Parks and Nature Reserves. PNG’s plantation resource is of minor importance. Currently, most of the State-owned forest plantations are either in a state of neglect or are abandoned. The reported area under forest plantations vary considerably. While PNG-FA/NFA (2002) reports the area under forest plantations at the end of 1999 to be 58,000 ha (government plantations 22,800 ha and private plantations 35,200 ha), the FRA 2000 gives the total forest plantation area to be 90,000 ha (FAO, 2001d). i. Forest Cover Change FAO (2001d) has estimated an annual average forest cover change of -113,000 ha during 1990-2000, representing an annual rate of change of 0.4%. Local villages in the rural areas are expanding their shifting cultivation practices to portions of natural forest, including those subject to ‘selective logging’ and those which have been opened by the construction of new roads and estate development. Also a large area of natural forest is being damaged in varying degrees by selective logging, mostly through creaming of prime timber species. This comes about as a result of the absence of consistent standard silvicultural techniques for natural forests. Selective logging in Papua New Guinea causes serious degradation of the forest, by felling or critically damaging between 30 to 70% of existing trees. (PNG-FA/NFS 2002). ii. Land Ownership and Timber Rights Land ownership in PNG is vested with customary landowners who comprise a large share of the rural population; and virtually all forest land is owned by clan or tribal groups under customary law. The constitutionally–guaranteed customary land ownership is the key policy domain influencing forest use. 97% of PNG’s land is customarily held as communal or clan commons, according to local custom.
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Sustainable Management of Tropical Forests – Private Sector Experiences There are a large number of clans and tribes in PNG, speaking some 700 dialects. Their customary rights include natural resources found on the land, excluding mineral and petroleum resources which are state-owned (PNG-FA/NFS, 2002). The smallest units to acquire and hold such independent land rights in PNG is known as a land-owning group. This group is often a clan composed of a group of blood relatives with various extensions upwards to the tribe or downwards to the sub-clan according to particular custom. Traditionally, customary owners never considered their land as property but as a domain for survival of land-group members, past, present, and future. All kinds of social, spiritual, ecological, epistemological and subsistence values are inherent in such land. Governments of PNG, in the past, followed a policy of using the Nation’s natural resources, of which timber is one of the few that is renewable, to bring development to the rural sector. For this to happen, however, the Government must first acquire or purchase timber rights from the customary owners. Prior to the 1991 National Forest Policy and Legislation, timber rights were acquired by a process referred to as Timber Rights Purchase (TRP). Under this system, rights were acquired where at least 75% of the adult clan members of a land owning clan or group agree to sign the TRP agreement. The rights acquired under this system were only for the harvesting of merchantable timber. c. Timber Rights Purchase and Forestry Development Under the TRP process, the customary owners cede their right to exploit timber to the Government, for periods ranging up to 40 years. Following purchase of timber rights, timber utilization rights can be granted to third parties. This is done in the form of harvesting permits, licences or concessions, based on a wood resources survey and timber development plan, and on agreed terms and conditions including payment of royalties. The system of TRPs accounted for about 87% of the annual timber harvest in PNG. During the period 1950-1977, the Government had purchased 238 timber rights covering an area of 2.3 million ha. Under the TRP system only the immediate rights of the concessionaire/licensee are safeguarded. There are no provisions for post harvest land use and to ensure resource continuity. One reason contributing to this situation is the complicated land rights and ownership system in the country. In the past, foreign investors played a major role in the utilization of the PNG’s forest resources. Areas which are intended for development through participation of foreign investors are designated as Forest Development Areas. A FDA may comprise several TRPs and proposed TRPs. The purpose of designating FDAs was to promote large scale, export oriented industries. Some 25 major FDAs for establishment of export oriented wood based industries complexes were advertised in the past without much success to attract foreign investment. The situation got somewhat confused with frequent changes in regulations. In 1971, the Forests (Private Dealings) Act was passed, allowing companies to negotiate purchasing of forest blocks directly with the landowner rather than through government as had been the case previously. Some of these regulations were later revoked. During this period, however, some 28 logging concessions were granted, much of the production going to North Asian markets. By 1987, the forest sector had grown to the point of harvesting over 2 million cum of logs annually. There has been scathing criticism about the unsustainable and inequitable manner in which the timber operations were carried out (De Ath, 1980). Even the rudimentary regulations were often withdrawn due to pressure from logging companies. Reports indicate that forest concessions in PNG, generally, are not being managed on a sustainable basis. Logging has reduced the forest area and degraded the residual forest. d. Institutional Development In the background of what has been happening for the last 20 to 25 years in the forestry sector, a White Paper on a revised national forest policy was prepared in 1979, which focussed on development of forest industry within PNG and export of logs. While well intentioned, in reality, the White Paper goals were not realized to a large extent. A period of review and redevelopment of the White Paper ensued. During 1980s, and for a further period of about 10 years, PNG was engaged in a major process of policy and institutional reforms in response to the perceived crisis in the forestry sector.
Sustainable Management of Tropical Forests – Private Sector Experiences i. National Forest Policy The National Forest Policy of PNG was approved in 1990. Two main objectives of the policy are: (i) management and protection of the nation’s forest resources as a renewable natural asset; and (ii) utilisation of the nation’s forest resources to achieve economic growth, employment creation, greater Papua New Guinean participation in industry, and increased viable on-shore processing. ii. National Forestry Act, 1991 In 1991 the National Forestry Act was passed into law, which provided for effective strategies to administer and maintain the forest resource and to achieve the above mentioned policy objectives. The Forestry Act 1991 provides for, and give effect to, the national goals of forestry development and elaborates the steps and processes involved in: forest resource acquisition, resource allocation, project proposals and agreements, issue/extension/renewal/cancellation of TPs, timber authority for registered forest industry participants and others for forest clearance, licence to engage in forest industry activities other than those covered in TP or TA, performance bonds, forest management and controls (including project statement and plans), measurement and identification of timber, registration of forest industry participants and consultants, marketing/exporting, control of transfer pricing, forest revenue system, enforcement of regulations and dealing with offences. The National Forest Development Guidelines consistent with the new policy were drafted in 1993. Despite having these guidelines in place, the PNG-FA could not effectively implement them. The 1993 guidelines specifically called for the forest concessions to be managed under a timber supply area (TSA) concept (having at least 25 large TSAs to cater for the forest industrialization process). This concept has since being shelved and it was considered prudent and economically viable to establish FMAs with an annual sustainable benchmark volume of 80,000 cubic meters or more. iii. PNG Forest Authority PNG-FA was created in 1992 to replace the erstwhile system of forest administration. It has been established as a statutory corporation with regulatory and administrative responsibility for the management of the forestry sector throughout the country. The Authority consists of National Forest Board (NFB) and National Forest Service (NFS). The Board operates through a system of specialist advisory committees and provincial forest management committees, and are serviced by the National Forest Service. e. National Forests Plan Parallel to the above development, the policy paper had called for the preparation of a National Forests and Conservation Action Plan (NFCAP). NFCAP was prepared in 1988-1989, and as required in the policy, was approved by the NFB in mid-1996. The NFCAP identified six major programme areas and priorities for action: Resource assessment with rapid resource appraisal and re-inventory of resources; • A new resource management structure (Forest Authority) including a National Forest Board, Standing Committees, four Regional Forest Boards, a new Forest Service and a new financial framework; • Maximising returns from logging through a comprehensive review of royalties, export tax, and other revenues from log exports, and by inviting marketing firms to raise their level of activity; • Industrial development initiatives with a review of log export ban and the conducting of feasibility studies for sawmills, panel products, wood chipping and pulp mills; • Conservation and land-use including: a World Heritage proposal, a national conservation strategy, rehabilitation of the existing national parks, improved evaluation and monitoring programme, training of local people, support to NGO activities, and a feasibility study for establishment of a landuse research council; • Institutional and human resource development.
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Sustainable Management of Tropical Forests – Private Sector Experiences NFCAP confirmed the intention to proceed with the acquisition of forest resources, and their long-term management. This acquisition will be by way of a Forest Management Agreement (FMA). Within the broad objective of SFM, it was envisaged that the Government will, through the Forest Authority, manage the forest resources on behalf of the people for a broad range of commercial and noncommercial benefits, for present and future generations. This will involve the following: • undertake regular forest resource inventories and produce a national forest type classification; • acquire and maintain management rights for the country’s commercial forest resources, utilizing FMAs wherever possible, to ensure the sustainability of the resource; • effectively control and monitor harvesting and export operations to ensure compliance with the Forestry Act, 1991 (as amended) and associated Government policies and guidelines; • promote resource owner participation in the management and utilization of forest resource; • provide advice to Government and potential investors on timber species and utilization options; • undertake research programmes and data collection activities which are aimed at developing the knowledge base for SFM and reforestation; • promote a forest revenue system that provides for fair returns to landowners, industry and government, and provide for adequate funding for the efficient operation of the PNG-FA. Much of what was envisaged have not yet been implemented. f. Forest Management Agreement Under FMA approach, the PNG-FA secures commitment of resource owners to follow recommended forest management practices, while simultaneously offering investors access to the forest for a minimum period of 35 years. Implementation involves the State issuing a TP under which it manages the forest on behalf of the customary owners for the duration of the FMA. Management roles of the state can be implemented through a developer, including harvest and construction of infrastructure. FMA would also set out the returns due to the land owner. The PNG-FA has started to apply the new acquisition system, but some major constraints and problems have already been encountered, including the lengthy procedures for incorporating land groups, coupled with the lack of manpower assigned to this task in the Department of Lands and Physical Planning. On a smaller scale, “Timber Authorities” are issued by provincial governments, upon recommendation of provincial forest management committees and the consent of the NFB. This would allow the execution of harvest agreements concluded directly with the landowners. It is reported that many foreign companies have abused this facility. As such, new policies on TAs are now in place to protect forest resource and prevent unnecessary forest clearance on customarily-owned land. To date, about 10.1 million ha of forests have been acquired (through timber lease arrangements of 50 years duration), by GoPNG, from the customary owners10 for commercial logging through FMA. Of this 10.1 million ha, only about 6.9 million ha are considered suitable for sustained yield management (PNG-FA/NFS, 2002). The acquired ares are normally allocated to foreign developers with financial capabilities. The sale of the timber rights by customary owners (and not the land), in return for a resource rent based on stumpage value is a normal acquisition undertaking between the state and the customary owners. This includes a package of social, economic and infrastructure benefits. Projects acquired in the 1960s under the TRP process are regarded as saved projects under section 137 of the Forestry Act 1991 as amended (GoPNG 1991). This implies that all projects must be developed under the FMA concept and abide by all the regulations relating to FMA. Currently there are 32 logging concession projects covering 195 acquired areas, distributed over 15 Provinces of the country. g. Land Owner Companies The land owner company (LOC) concept was developed as part of the 1979 National Forest Policy in order to increase national participation in the forestry sector. Since then the number of LOCs has mushroomed, 10
According to the 1996 Annual Report of the PNG-FA, by the end of 1996 some 7.4 million ha of forest area had been acquired of which 4.4 million ha had been allocated for development (PNG-FA, 2000).
Sustainable Management of Tropical Forests – Private Sector Experiences with many having been issued with TPs, supposedly to develop their own resources. Whilst the concept is good in theory, the practical reality has not been so good. Most of the LOCs have been plagued by mismanagement, corruption, and in-fighting between different landowner factions. The result has been that most LOCs have become alienated from the people that they were supposed to represent. LOCs, as licence (TP) holders, “contract” foreign companies to conduct logging. It is the expectation that the contracting company will train the landowners and make them capable of running their own business. But, such a development has not yet taken place. The main problems are the lack of education and business knowledge on the part of most landowners, difficulties in successfully structuring the LOC’s due to the complex land tenure system and proliferation of land-owning groups. Registration of incorporated land-groups are delayed due to lack of capability on the part of the Department of Lands and Physical Planning. h. Silvicultural System The silvicultural system prescribed for the natural forests is selective logging, a modification of the conventional selection system. It involves removal of mature and over-mature trees, facilitating the remaining crop to grow naturally to maturity. The conventional selection system is characterized by yield regulation on area or volume basis, specifying a rotation and felling cycle, minimum size of trees allowed to be cut and TSI during the interviewing period. Eventhough the pre-FMA (prior to 1991) system was also qualified as selective harvesting, cutting of all trees above the prescribed limit over the area was completed within a period of 10 to 20 years, thus consuming the resource at a faster and unsustainable rate. From 1991 onwards, all new forestry operations have a cutting cycle of 35 years (eventhough the new forest policy specifies a cycle of 40 years). While resource inventory based on an arbitrary one percent sample survey is prescribed as part of management planning, the new regulations do not provide for TSI and post harvest inventory. There is also no requirement to maintain PSPs. Reduced impact logging and forest certification system are also not practiced. There are also difficulties for realistically establishing AAC, rotation and harvest cycle due to lack of research information about growth and yield and time taken by trees in pre-mature class to move into mature class. i. Forest Utilisation Forest industry is one of the largest manufacturing sector in PNG. The total value of manufactured forest products in 2000 was US$ 25 million. The industry is made up of various sectors: harvesting, sawn timber, plywood manufacture, veneer production and furniture making. PNG is a low-cost-low-value wood producer, and large scale logging has become the dominant economic activity in the forestry sector. The current estimate of total potential sustainable production is approximately 3.13 million cum/year. In addition, based on an estimate that 4.4 million ha of forest land will be converted to agriculture over the next 50 years (average 88,000 ha/annum), the annual production could be boosted up by an average of about 2.6 million cum/annum, providing a total annual harvest forecast of approximately 5.73 million cum/annum (PNG-FA/NFS, 2002). Although the actual level of log harvest has remained approximately within the estimated overall level of sustainable cut, it has been above the sustainable harvest level estimated (i.e. 2.8 million cum/annum) for the areas already acquired (about 6.9 million ha) for forestry projects. Log harvest reached a peak in 1994 with a production of 3.62 million cum which fell to 2.41 million cum in 1995 and steadily to 2.12 million cum in 200111. An increase in log harvest in 1997 (of 3.50 million cum) is attributed largely to abnormally dry condition, which allowed harvesting to continue in most areas throughout the year (PNG-FA/NFS, 2002). The province of West New Britain has been a major producer (and exporter) of logs, followed by East New Britain, Sanduan and Western Province. Logging wastages is generally high, in the form of damages to trees while felling, damages to standing trees, high stumps and unused crown (bole above the first branch). However, logging wastage reported by companies are often low, less than 10%; and probably it accounts only for losses in hauling/skidding and loading.
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Sustainable Management of Tropical Forests – Private Sector Experiences i. Export of Logs Approximately 90% of the annual log harvest in PNG is being exported, indicating stagnation (or decline) of the domestic processing sector. However, along with falling log production, there has been corresponding fall in the export of logs. Log export which crossed 3 million cum mark in 1994, steadily fell to 1.99 million cum in 2000 and 1.56 million cum in 2001 (PNG-FA/NFS, 2002). Log exports accounted only for 5% of the total exports of PNG, during the period 1998-2000. ii. Activities in the Wood Processing Sector The National Forest Policy anticipates increased domestic and downstream processing of forest products to create employment, facilitate the transfer of technology and promote export of value-added products. However, the forest industry is predominantly based on log export which largely reflects the perceived risk and commercial limitations of domestic processing in PNG. Despite the availability of considerable Government incentives and subsidies for the domestic processing of timber, this sector has actually declined in the recent past. This trend implies that it is more profitable and less risky to export raw logs than to process them domestically. The existing processing facilities include: 1 Plywood factory in Bulolo; 1 veneer mill at Panakawa; 1 woodchip mill in Madang12, 49 sawmills of various capacity; 27 furniture factories and journey workshops. Currently, there is no clear and consistent policy on domestic processing of forest products. The National Forestry Development Guidelines (1993) has defined the objectives of forest industries development and product marketing, emphasized the need for equity participation by incorporated land groups and specified the procedures, regulatory measures, incentives, standards and norms including structure and organisation and nature of controls. However, nothing much has happened in implementing the guidelines. iii. Forest Industry Association PNG-FIA has been recognized in the National Forest Policy 1990 as the legitimate body representing the forest industry. The PNG-FIA is an incorporated national association representing and promoting the interests of the PNG forest industries sector at all levels, and is committed to the responsible use of forest resources and to develop “sustained forest industries for PNG”. PNG-FIA provides a wide range of services and assistance to its members. j. Rules and Regulations and Control of Timber Operations The legal authority for the various stipulations regarding timber operations are contained in the following instruments: • • • • • • • • •
National Forest Policy, 1990 Forestry Act, 1991 (as amended) National Forestry Development Guidelines, 1993 Planning, Monitoring and Control Procedures for Natural Forest Logging Operations under TP, 1995 Key Standards for Selection Logging in Papua New Guinea, 1995 PNG Logging Code of Practice, 1996 National Forestry Plan, 1996 Procedures for Exporting Logs, 1996 Forestry Regulation, 1998
While being a late entrant in the arena of tropical timber production and export, PNG has established a number of regulatory instruments to support SFM, even though there are gaps in implementation. There are elaborate prescriptions specifying steps to be followed for acquisition and allotment of land, preparation of management/logging plans, division of area into annual coupes and set-ups (smallest unit of logging), 11
12
Different production figures are seen reported. A PNG-FIA (2002) Statement on Production prepared for ITTO reports the roundwood production in 2000 to be 4.2 million cum, of which the quantity of industrial roundwood is 2.2 million cum including 2.1 million cum of sawlogs and veneer logs. Corresponding figures for 2001 is 3.7 million cum, 1.7 million cum and 1.6 million cum respectively. The FAO Year Book of Forest Products 2000 give the roundwood production in PNG in 2000 as 8.6 million cum of which industrial roundwood is 3.1 million cum. Two plantation-based wood chip projects were expected to come up in Open Bay and Stettin Bay. These plans appears to have been scrapped.
Sustainable Management of Tropical Forests – Private Sector Experiences issue of harvest authorization etc. The National Forestry Development Guidelines issued in 1993 specifies that the customary land where the FMA has been negotiated and a timber permit has been issued, be managed so as to maintain or improve the forest’s capacity to produce timber and other commercial forest products. “Key Standards for Selection Logging in PNG” provides for monitoring of timber operations at every stage, and independent surveillance of log movements and inspection of log shipments to control malpractices and transfer pricing. Inspite of the regulations relating to SFM, logging is undertaken as a one time activity without any provision for continued timber production and post-logging silviculture/management. The conditions specified in the TPs and the logging plans are meant to guide the production and sale of logs (and collection of related levies and charges), and not to support long-term development of forest resources and their efficient utilization. One effectively functional aspect, at present, is the log trade monitoring and log export surveillance being carried out on contract by Societe Genarale de Surveillance of Switzerland, facilitated through an EUsupported project. k. Donor Concerns World Bank has expressed concerns at the manner in which timber projects are awarded and controlled in PNG – particularly relating to area approval, resource inventory, determination of appropriate cutting cycle, management of fragile forests and conservation set-asides, and treatment of landholder involvement issues. The World Bank has highlighted the need for: developing an area appraisal protocol; developing a rapid appraisal inventory system to replace the 1% sampling regime; adopting an interim cutting cycle based on growth and yield studies; reducing logging damages; and developing a classification of management system for fragile forests. On the other hand, timber industry feels that the changing regulations cause additional strain and uncertainties about future of investment in forest development programmes. The loggers complain that this, in combination with high costs, high taxes and low market prices, is driving them out of business. World Bank and the other donors are encouraging the GoPNG to address the gaps in implementing FMAs, including the need for improved conservation measures, bio-diversity set-asides and review of forest revenue system. Inadequate improvement in the socio-economic condition of the land-owning groups continues to be a cause for concern, inspite of their being the owners of a valuable resource. l.
Constraints for Sustainable Forestry Development Key constraints to be taken into account in launching forestry development programmes, inter alia, include: Weaknesses of forest management system – e.g. timber projects in PNG are log harvesting projects, not projects for SFM; and logging permits are given for one-time extraction operation; • • • • • • • • • • • • •
The rugged topography and spread of islands; The cultural and language diversity leading to lack of social harmony; Shortage of skilled labour and limited capacity of public institutions; Inadequate knowledge about eco-system diversity and their response to intensive logging; Lack of infrastructure; Customary ownership of land and forests; tyranny of the tradition; Extortionary tendencies among some of the land-owners; Lack of knowledge about the regeneration capacity of the forest resources; Misinformed campaigns and irresponsible behavior on the part of some NGOs; Shortage of funds and slow structural transition of institutions; Inadequate ability of the PNG-FA to properly regulate the sector; Frequent changes in policy and regulations; Inadequate human resource development to benefit the land-owning community.
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Sustainable Management of Tropical Forests – Private Sector Experiences It has also been observed that the benefits from the forestry operations have generally not filtered to the genuine landowners and income has not been saved or invested to ensure long-term development. It is only once the money has dried up, will the landowners begin to gain a true appreciation of the value of their forest resources (PNG-FA/NFS, 2000, 2002). PNG has gone through a succession of policy changes in the forestry sector. Hindsight indicates that policy assumptions, as well as actual practice, was flawed and distorted in most cases. Measures suggested, by experts, to move forward include: bridging the gap between policies and public interest, combining different scales of enterprise, generating public interest and private initiative, working with interface institutions and capacity building. (Source: De Ath, 1980; Filer & Sekhran 1998; FAO 1997 b; FAO 1997i; PNG-FA/NFS 2002)
5.7.8
Philippines
a. General Information Most of the land in Philippines is mountainous. 56% of the country is classified as uplands, being 18% or above in slope. Significant area of the upland is already being used for crop cultivation. The increasing political stability of the country is fuelling significant growth and business output. Manufacturing (e.g. electronics, garments) contributes about one third of the GDP, followed by the services sector. Forestry as a contributor to GNP/GDP has declined significantly with depletion of timber resources. The contribution of forestry and forest industries to the GNP of Philippines accounted for 1.6% in 1975 and it has reached a dismally low figure of 0.14% by 2000. The country’s land resources are classified into forestlands and alienable and disposable (A&D) lands. Forestlands are those lands of the public domain, 18% in slope or over. Forestlands include the public forest, the permanent forest, and forest reservations. A&D lands refer to those lands of the public domain which have been the subject of the present system of classification, and declared as not needed for forestry purposes. No land of the public domain 18% in slope or over shall be classified as A&D. Land statistics in Philippines tend to be imprecise and ever changing, as new estimation or collation efforts superceded older ones. Most forests are found on forest land, and most cropland is A&D land. However, these land uses are not co-extensive with the legal classifications. Of the area presently classified as A&D land, 30 to 35% has slopes in excess of 18%. Conversely, as much as 28% of forest lands are estimated to have slope under 18%, although most of this is found at higher altitudes in mountainous areas (DENR/UNDP, 2002). The Philippine government hold title to all forest land in the country. Forestry (also National Parks and other protected areas) in Philippines falls under the purview of DENR. i. Some History During the period 1904 to 1987, Bureau of Forest Development was under the Departments of Interior, Agriculture and Natural Resources, and Agriculture and Commerce for varying lengths of time. This period saw enactment of many laws and regulations and large scale extraction of logs for export. With the issue of Executive Order 192 of 1987, most regulatory functions of BFD were decentralized to the field offices known as Environment and Natural Resources Offices (ENROs); and, BFD became Forest Management Bureau, a bureau of DENR with recommendatory powers (which also absorbed the staff functions of the erstwhile Wood Industry Development Authority), The forest history of Philippines can be divided into five periods: • •
First, a period of low exploitation, from the colonial era through to 1945.
Second, a period of increased forest exploitation for supporting development, during the post independence era, from 1946 to 1960. There was greater emphasis on production of timber for revenue generation. • Third, a period of peak logging and concession exploitation, during 1960 to 1970.
Sustainable Management of Tropical Forests – Private Sector Experiences Fourth, one of attempts to build a forest products industry, between 1970 and 1980; but this attempt was not successful, and only encouraged illegal activities. • Fifth, 1980’s and beyond, one of increased emphasis on social and environmental roles of forestry. •
b. Forestry Situation Philippines is one of the most severely deforested countries in the tropics. Over the last four decades, the forestry sector in Philippines has steadily declined, leading to escalating ecological degradation and rural poverty. Within a span of few decades, Philippine has moved from the position of one of the most active producers and exporters of logs and other wood products in the Asia Pacific region, to be a net importer of logs and lumber. Philippines has one of the lowest per capita forest cover, 0.08 ha. With the benefit of hindsight, it can be seen that a number of inadequate, inappropriate or poorly implemented policies (and policy instruments) have contributed to the situation. In early 1900s, some 80% of the country was under dense forest of valuable tropical timber species. The forest area of Philippines is estimated to have declined from 12 million ha in 1960 to the current level of about 5.4 million ha, which includes only less than 0.8 million ha of virgin forests, confined to steep and inaccessible areas. Today, the forest cover of Philippines ranks as one of the eleven poorest, among 89 countries in the tropics. Harvest of logs has correspondingly fallen from 11.2 million cum in 1974 to 6.4 million cum in 1980 and to 0.8 million cum in 1995, due to government ban on export of logs in 1986, ban on export of lumber in 1989 and ban of wood harvest in virgin forest in 1991. Industrial wood production in 2001 was only 571,000 cum. Of the total industrial wood production in 2001, only 28% was accounted for by natural forest and 72% came from plantation forests. Nearly 50% of all industrial roundwood production came from private sources, mainly farmers (FAO, 2003b). The imposition of logging bans, its withdrawal subsequently, and non-renewal and suspension of logging activities, generally turned forest lands into open access areas, leading to their degradation. Logging bans also eliminated an important revenue source. In spite of logging bans, deforestation continued at about an annual rate of 316,000 ha in the 1980s, caused by land conversion, shifting cultivation, forest fires, illegal logging and rampant smuggling, over-harvesting by licence holders, and fuelwood harvest. Deforestation has decreased somewhat to about 150,000 ha annually during 1990s. The average volume of growing stock in the remaining forests have fallen from about 180cum in 1990 to 66 cum in 2000. Part of the deforestation has been compensated through afforestation. As per records, Philippines has about 1.5 million ha forest plantations. FRA 2000 (FAO 2001d) gives the area of forest plantation as 753,000 ha. Overall, the absence of operational and effective management system for many of the forest lands, characterises the Philippine situation. More than 5 million ha of public forest lands in the timber land category are not covered by any form of tenure, and are considered open access. Philippines is the first Asia-Pacific country in the post-World War II era to extensively liquidate its forest wealth. Anecdotal evidence suggests that, in its virgin state, Philippine forests were among the most commercially valuable in the world, with outstanding yields of high-quality, easily-accessible timber. Philippines developed an extensive log-export trade between 1960 and 1970. Large TNCs were involved in logging, during this period. Log production increased from 3.8 million cum to 10 million cum and the area under concession increased from 4.5 to 10.5 million ha (more than a third of the country’s land area). Log exports peaked in the late-1960s at around 10 million cum per annum. 80% of recorded log production was being exported unprocessed. Forest products accounted for 33% of total export earnings. The increase in production was not, however, accompanied by substantive development of woodprocessing facilities, nor was adequate attention paid to sustainable management of the resource. Consequently, by the early 1980s, annual log exports had dwindled to less than 1 million cum. The country was left with a legacy of problems associated with deforestation and degradation and no direct means of raising revenue to alleviate these problems. The emphasis in controlling concessions was on regulations rather than on incentives to achieve compliance. “Command and control” approach was extended also to industries. Mandatory construction of mills by all concessionaires led to over-capacity, token mills, political games, and gross waste of scarce resources. This has been superseded, later, by tax incentives and amendments to foreign investment laws.
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Sustainable Management of Tropical Forests – Private Sector Experiences c. Present Position of Concessions Many of the problems associated with the large scale destruction of the forest resource can be linked to a combination of land and concession tenure issues, and lack of ability or will to enforce the requirements of the concessions. In the situation of short term concessions and lack of long term security of tenure to land, there exists a clear economic signal to reap as much benefit as possible in the shortest time possible at least cost. d. Natural Forest Management In order to prevent the unacceptable loss of old growth (virgin) forests, DAO 24/1991 imposed ban on logging in old growth forest and shifted logging to second growth (residual) forests, beginning January 1992. For the purpose of DAO 24/1991, production forest has been defined as forestlands outside the areas specified as non-production forests, consisting mainly of second growth forests, including patches of reforested areas, brushlands and/or openlands therein. Operable forests are defined as second growth forests within areas of less than 50% slope and less than 1,000 meters elevation, specified under the Production Forest category. The second growth forests are stratified/blocked depending upon the years elapsed after logging (YEAL). Logging is permissible only in the older blocks. Reports indicate that forest loss continue to take place, inspite of DAO 24/1991. Compensating for natural forest loss through raising of plantations has not been effective or adequate. There are at present two types of agreements linked to forest management and harvesting operations: (1) timber licence agreements (TLAs) and (ii) integrated (industrial) forest management agreements (IFMAs). i. Timber Licence Agreement TLA is normally granted for a period of 25 years. Agreement conditions require replanting some areas. There are some 21 holders of TLA, all having second growth natural forest concession. Only 6 of them have active logging operations; 5 have temporarily stopped operations; the other 10 have closed down all operations. The ongoing TLAs are also being phased out. ii. Industrial Forest Management Agreement Corporate sector involvement in the growing of industrial plantations is being encouraged through the integrated/industrial forest plantation programme. There are, at present, 188 IFMAs covering a total area of 508,100 ha. IFMA is a production sharing contract entered into between the DENR and a qualified applicant. The DENR grants to the latter the exclusive right to develop, manage, protect and utilize a specified area of the forest land and forest resources therein, for a period of 25 years. The period may be renewed for another 25 year period, consistent with the principle of sustainable development and in accordance with an approved comprehensive development and management plan (CDMP), under which both parties share the produce. It follows the overall concept of “stewardship”. Areas available for IFMA are: (a) open and denuded lands, brushlands, degraded residual natural forest; (b) areas covered by cancelled/expired Forest Land Grazing Agreements or pasture permits/leases; (c) government reforestation projects or portions thereof found to be more suitable, or can be better developed, as industrial forest plantation (IFP) in terms of public interest and benefits to surrounding communities; (d) residual natural production forest that may be best included in any of the aforementioned areas and be part of the managed forest under the IFMA; (e) areas under cancelled and expired TLAs, provided areas under existing TLAs may be allowed for conversion to IFMA by the holder thereof. The minimum size of the area that may be covered by an IFMA is 500 ha and the maximum size depends upon the capability of the applicant to develop and manage the area into productive condition and the requirements of his processing plant, existing or to be installed in the area/region, provided that it shall not exceed 40,000 ha. An IFMA may preferably, but not necessarily, be in one single block provided, however, that where a TLA is converted into IFMA, the size may extend up to the size of the TLA area at the time of the conversion. Holders of economically distanced small size IFMA areas may be allowed to integrate them into a co-operative or federation of co-operatives or corporation, the aggregate area of which shall not exceed 40,000 ha.
Sustainable Management of Tropical Forests – Private Sector Experiences The applicants for IFMA shall be: (a) a Filipino citizen of legal age and (b) partnerships, co-operatives, or corporations, whether public or private, duly registered under Philippine laws. e. Post-1986 Policy Developments There have been several initiatives after the 1986 elections, with regard to decentralization, resource tenure and forestry development. The legal basis of the TLA system was changed in the new Constitution of 1987. Reflecting a general reorientation of natural resource management policies in favour of co-production or production sharing agreement and CBFM (and against TLA), since 1987, some dramatic reductions in awarding of concessions have been made. However, the TLA holders are allowed to continue to operate until the expiry date indicated in the Agreement and subject of compliance to certain requirements. Article XII, Section 2 of the 1987 Constitution implicitly rescinded DENR’s power to license private exploitation of national resources. As an alternative, it provided that “the State may directly undertake such activities, or it may enter into co-production, joint venture, or production-sharing agreements with Filipino citizens or corporations or associations, at least sixty percent of whose capital is owned by such citizens.” The policy since 1987 has been to reduce, phase out or cancel the areas under TLAs, in favour of awarding forest exploitation rights embodied in TPSAs. Timber sales under the TPSA process are to be conducted through an open competitive bidding process. This policy did not lead to improved forest management, because the competitive bidding process discouraged investing in maintaining or enhancing the future productivity of the forest, as success of subsequent bidding cannot be ensured. The TPSA system increased the Government revenues but the revenues did not go back into forest replacement as originally intended. Since the TPSA system was found to be inadequate, it was replaced by a range of other instruments. An important component of the policy matrix was to encourage private sector participation in forest plantation development. TPSAs, therefore, evolved into IFMA, SIFMA and CBFMA which took into account the need for investment in maintaining the forest growing stock through a performance bond. With the newly initiated strategy of the Government, forest management activities are implemented through a new system of tenurial instruments. These instruments take in to account RA 8371 (Indigenous People’s Rights Act, 1977), according to which indigenous people have the right to title over their ancestoral lands. It also means that they have a say in the management of these lands. Different forest categories fall under different tenure instruments and management systems – such as community forestry management agreement (CFMA), community-based forest management agreement (CBFMA), certificate of stewardship contract (CSC), mangrove stewardship agreements (MSA), TLAs or IFMAs, SIFMAs and CADCs/CALCs. PAs may be part of, or include, CBFMA, CADCs and/or CALCs. f. Sustainable Management of Natural Forests The C&I for SFM at the National and FMU levels indicate the essential ingredients of good forest management. These, among others, include: clear boundary demarcation of forest and FMUs; availability of resource inventory (and bio-prospecting) information; estimation of AAC based on growth and yield studies; forest protection measures; minimum acceptable standards for environmental and bio-diversity conservation; preparation/updating of long, medium and short term management plans. Accordingly, holders of TLAs are required to prepare and submit for approval by DENR the required Integrated Annual Operations Plan before the conduct of logging and other forestry operations inside their concession area. i. Legal Basis of Forest Management Activities There are rules specifying: authority to issue forest harvesting/management licenses /permits, standard operating procedures and roles of various levels of bureaucracy. Some of these legal requirements are considered by the people and NGOs as unnecessary and as tools of harassment. ii. Silvicultural Concepts The existing regulations also specify that logging operations in production forests should follow, the
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Sustainable Management of Tropical Forests – Private Sector Experiences proper silvicultural and harvesting systems that will promote optimum sustained yield. A selective logging system has been prescribed as the basis for forest harvesting in the country, since the early 1950s. The system is anchored on setting diameter limits, where trees 50 cm dbh and below are retained as residuals, and varying percentages of the larger diameter trees are also left as maternal stock to encourage renewal. This is supposed to allow for a second-cycle cut in about 30 years. Such a system assumes that the regulatory agency has good information on the forest and can have complete control over the operations of logging concessions through regulations on inventory, tree marking, impact monitoring and eventually, if circumstances demanded, cancellation of TLA for violations. The owners of logging concessions, however, are politically well connected, and has the upper hand in most cases (Ganapin, 2001). In practice, these silvicultural concepts and related C&I have not been strictly followed, and forest depletion, with its multifarious ramifications has resulted. The system has a number of loopholes. For one, concessionaries have no interest in the second cut, and extract as much as possible in the first cut. This is mainly due to financial self-interest. The net value of the second cut, discounted to the present at interest rates reflecting the opportunity cost of capital in the Philippines, is trivial compared to the value of the initial harvest. There is also little incentive to protect the residual stand. Consequently, mechanized logging methods (encouraged in the past by tariff exemptions for imported capital equipment) are employed, in spite of the damage these methods do. Concessionaires also will not bear the high costs of protecting the stands from kaingineros, charcoal makers, firewood gatherers, and unlicensed small-scale loggers who follow the legal logging, and collectively complete the destruction of the residual forest. g. Forest Plantations Reforestation, afforestation, tree farming, and enrichment planting are all included under the category of forest plantations. These include plantations developed by the government in regular reforestation projects, those developed by communities in CBFM projects, as well as those developed by industrial concerns such as those in IFMAs, and tree farms developed by small landholders in private lands. From 1976 onwards, the Government introduced several programmes and measures to counter the deforestation – programme for forest ecosystem management (ProFEM), family approach to reforestation, citizen’s tree planting, mandatory tree planting by TLA holders and grazing permit holders, ITP leases, contract reforestation, IFMP, SIFMP and so on. The National Forestation Programme (NFP) launched by the Government in 1986, supported by ADB’s FSP Loan, sought involvement of a wider section of citizenry. In 1990, the annual accomplishment was reported to have risen to as high as 191,000 ha. However, the first 6 years of the National Forestation Programme “provided a valuable lesson” that the family/community approach produced better results compared to corporate contracts. Accordingly, families and communities became the principal agents to carry out reforestation, leading to a transition from contract reforestation to community-based forest management. One observation of interest is that in spite of initial euphoria, the tempo of reforestation has been slowing down with only 27,632 ha, planted during 2000, which registered a 66% decline from 1999. Out of the area planted in 2000, some 79% (21,740 ha) was contributed by the Government sector composed of DENR through its different projects, LGUs, and other government agencies. The private or non-government sector, notably TLA and IFMA holders shared 5,892 ha or 21%. The total reported area of planting during 2001 has been 31,444 ha (against the target of 129,500 ha). Of this, the area reforested by DENR was 26,484 ha including 24,806 ha funded through foreign assisted projects. No information is forthcoming on survival, growth, yield etc. of the plantations in Philippines. Surveys carried out under the Japanese (JBIC) Project gave a survival rate of 60% at the end of 2 years, which will bring down the effective (reduced) area. However, the project completion report of DENR on the ADB/FSP has claimed a survival of 67%. The Philippine-German forest resources inventory project had carried out an independent national inventory of all government reforestation projects, in 1988. Out of a total of 184 reforestation projects, a sample of 37 projects (covering 48% of plantation project area) were field checked; and the result indicated a success rate of 25.8% only (FAO, 1995).
Sustainable Management of Tropical Forests – Private Sector Experiences i. Causes of Poor Performance A host of reasons have been attributed for the poor performance of forest plantations in Philippines such as lack of a clear policy on forest plantations; poor selection of sites; inflexibility in the use of species (and poor choice of species); poor quality of planting stock; inadequate species/site matching; low funding and lack of maintenance; inadequate economic incentives; lack of extension services; inadequate research and technology support; lack of monitoring and evaluation; absence of a system of plantation inventory; legal/tenurial problems; lack of company-community collaboration; institutional obstacles and conflicts; and marketing problems. h. Decentralisation and Devolution of Forestry Functions The Philippines Local Government Code of 1991 conferred certain government powers and authorities on LGUs. In forestry, the DENR devolved some of its conservation, management, and protection functions to LGUs and reassigned some 1,000 staff members to capacitate local authorities. It is also planned that DENR will transfer budgets, assets, and records that correspond to the Department’s devolved functions and programmes, but there has been only limited progress. Many LGUs are attempting to defer the devolution citing, inter alia, lack of clarity in defining the new responsibilities of local authorities, lack of financial capability, inadequate office space to accommodate new staff, and complexities in administrative arrangements. i. Private Sector Involvement Administration of forest lands in the country, principally, is the responsibility of the State. Forestry in the early years of the last century was predominantly a government activity and the Government Forest Bureau was involved in silvicultural management of the forests as much as in forest administration. The State has since delegated the management of these public forestlands to the private sector through various forms of longterm agreements and various tenurial instruments. Private sector involvement in forestry activities started in Philippines in the late 1920’s to extract and sell Philippine Mahogany (Dipterocarps) in the world market. Extraction was carried out based on permits issued by the government. At the height of operations under timber licence agreements, the private sector was holding more than two thirds of the public forest lands, for timber extraction. Currently the area of public forest land being managed by the private sector has reduced considerably. i. Community-Based Forest Management Philippines has been experimenting with peoples participation in forestry during the last 35 to 40 years. And, currently, CBFM is given the status as the flagship/banner/center-piece programme of DENR, particularly to address the poverty and economic backwardness of the upland and forest dwelling communities numbering about 25 million, while ensuring forest’s sustainability. Lacking any form of legal tenure over the land they occupy, with no incentive to invest in long term protection, management and development of forests, the upland community who rely on forests for livelihood subsist through kaingin, illegal cutting and gathering of various forest products. Their aspirations for a more decent, secure and equitable way of life are tied up with forestry development. CBFM has been adopted as the national strategy for management and sustainable development of forest resources, pursuant to a 1995 Presidential Executive Order. Unlike previous programmes that granted tenure over denuded and/or degraded forest lands (e.g. agro-forestry initiatives), the CBFM approach extends tenure and use rights to well-stocked forests. Organised communities operate within allowable cut limits set by the government. They harvest timber and other forest products to sell, to use for their own needs, or to process. Timber harvesting by communities typically follows a labourintensive, low-impact approach. Felling uses small chainsaws, flitching and/or quarter-sawing is done at the stump, and animals are used to skid logs to roadside landings. Sale of timber, rattan, bamboo and other forest products has provided new and additional income to upland communities suffering from severe poverty. Slash-and-bum forest destruction and illegal logging have declined in some areas where the CBFM concept has been introduced. It is necessary that rhetoric relating to participatory forestry should match with reality, and followed by appropriate action.
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Sustainable Management of Tropical Forests – Private Sector Experiences j. Stewardship Certificates With the consent of the Government, private individuals and entities may use forest land for traditional forestry purposes. In uplands, occupancy is legitimized through issuance of Certificate of Stewardship which grants a 25 year tenure, renewable to 50 years. k. Resource Utilization and Value-addition It was in 1975 that Philippines first attempted, in order to increase the retained value of forest resources through value added processing, a rationalisation programme for the industry. It required concession holders to do some processing locally. It also imposed a ban on log exports. These had what in hindsight was a predictable effect. A number of small, generally inefficient mills were built and grossly under-utilised, simply to comply with the new rules; at the same time, companies continued with what they were good at, and which was very profitable – exporting of logs. With no sustained efforts to enforce the rationalisation programme, and with falling availability of wood raw material, the situation of wood industry in Philippines is one of closure of mills and gross under-utilization of capability in existing mills. Table 13 depicts the general situation of wood-based industry in Philippines. Table 13. Number of wood based processing units, Philippines, 1977 – 2000 Wood based Processing Units Saw mills Veneer Plywood Blockboard Particle board
1977
2000
Number
DRC (cum)
Number
DRC (cum)
325 23 32 12 2
18,000 1,657 5,213 239 48
45 19 27 8 1
2,000 934 1,803 NA NA
* in tonnes Source: 2000 Philippine Forestry Statistics (FMB)
According to one report, total log consumption in 1999 was 1.3 million cum (over 0.7 million cum from domestic sources and almost 0.6 million cum from imports), compared to 3.8 million cum (from domestic sources only) in 1988 (ADB, 2002). Many of the currently functioning mills have re-tooled and modified the operations suit the existing situation. The sawmills and wood working mills mostly rely on plantation wood of Gmelina arborea, Albezzia falcata, Pinus radiata, Pinus carribbea, Poplar and Eucalyptus deglupta. The first two species are locally produced and the others are imported. Local sources are accounted for by plantations under IFMA and local tree farmers, each owning an average of 3-4 ha of plantation. The bureaucratic requirement of certificate of origin, clearance permit, transit passes etc. often dissuades the farmers from tree planting ventures. The indication given was that it is now cheaper to import logs, and that is also more dependable. Impact of the decline in the forestry and forest industry activities is seriously felt in the loss of employment. In the second half of 1980, forestry and forest industry together employed well over 100,000 people on a regular basis. Employment in logging alone in 1990 was 19,184 which had fallen to 2,323 by 2000 due to reduced harvesting activities. Reduced availability of wood raw material has proportionately reduced employment in the processing sector. The amount of forest levies/ charges collected on log harvest in 1991 was 806 million Pesos which declined to 135 million Pesos in 2000. In 1984 Philippines had a wood and primary wood products export/import ratio of 91:9 which changed to 13:87 in 2000. l. Master Plan for Forestry Development In order to address the problems affecting the forestry sector and steer it towards sustainable development, Philippines prepared a Master Plan for Forestry Development, in 1990, with the assistance of ADB and FINNIDA. The MPFD is a nation wide plan, for the development of the forestry sector, with a 25 year horizon. The plan proposes 15 programmes, grouped under three umbrella programmes: man and
Sustainable Management of Tropical Forests – Private Sector Experiences environment; forest management and products development; institutional development. A major focus of the MPFD has been to provide opportunities for people’s participation in forestry development, management and utilization, so that they will become dedicated advocates of forest conservation. It provided for: management of residual logged-over forest under community forestry programme; corporate sector involvement in growing industrial plantations, to create new resources in denuded land; special consideration for rattan as contributing to the development of tribal communities. Due to the influence and interference of several factors, MPFD was not properly and adequately implemented, further adding to the problems facing the forestry sector. A review of the MPFD implementation conducted by the UNDP in 1999 and by the ADB in 2000 noted several gaps and deficiencies. The UNDP Review Mission also underlined the need to re-evaluate, revise and promote adherence to the MPFD with emphasis on SFM, poverty alleviation and food security in upland communities. Accordingly the MPFD was reviewed, revised and updated in 2003 with the support of UNDP/FAO. It is hoped that the Government of Philippines will take appropriate actions to implement the revised MPFD. i. Constraints To effectively implement the MPFD and to achieve SFM there are several problems, constraints and issues to be addressed. These, among others are: inadequacies of forestry sector policies; inadequacies of legal instruments; weaknesses of organizational structure of public forest administration; funding uncertainties; hurdles for private sector participation; deficiencies in implementing people-oriented forestry; inadequacies of planning and programming; confusion in land tenure and disorder in landuse; lack of boundary delineation on the ground; inadequate management of natural forests; lapses in plantation development; deficiencies in conservation, protection and watershed management; wasteful utilization and inadequate value addition; neglect of NWFPs; lack of a system of natural resources accounting; deficiencies of HRD; weaknesses of R&D and extension; lack of a credible system of M&E; and other cross cutting issues. (Source: FAO 1997k; FAO 2003b; Acosta 2002; DENR/UNDP 2002; Guiang 2001)
5.7.9.
Thailand
a. Recent History Thailand’s economy has been one of the fastest growing in the world during the last decade, and it demonstrates the strength of a free market environment in generating growth marked by robust private consumption and exports and fiscal pump-priming. Thailand’s forests are of two types: evergreen forests (45%) and deciduous forests (55%). Thailand’s forest resources have been subjected to continuing pressure and devastation. Land demand for subsistence farming, commercial agriculture, physical infrastructure, tourism and other uses remains high. The Government promulgated a total ban on logging in 1989 and undertook an accelerated reforestation programme after devastating floods destroyed several villages in 1988. The recent forest history of Thailand can be divided into four broad periods: i) 1890-1930. Early exploitation stage with emphasis on revenue generation. This period witnessed unscientific exploitation of natural forest without much regard for long-term sustainability. ii) 1930-1960. Scientific forest exploitation, eventhough logging continued to be a major economic activity. Forest Management was modelled after the British system, involving creation of reserved forests, and management based on Divisional Forest Working Plans. Forest Industries Organisation (FIO) was established during this period. iii) 1960-1980. Forest exploitation and decline stage. In 1965 the “forest concession system” was introduced. The forests were rapidly overcut and destroyed. In 1975, access to nearly 75% of the forest was restricted.
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Sustainable Management of Tropical Forests – Private Sector Experiences iv) 1980-onwards. Closing of forest exploitation and dawning of a new era for forestry. All logging concessions were cancelled in 1989. Available remaining forests set apart either for conservation or rehabilitation. b. Forest Concessions Forest and forest lands are state property under the responsibility and management of the Royal Forest Department. Timber used to be one of the most important export commodity of Thailand, second to rice and tin ore for several decades, and this natural resources played a significant role in the country’s economic development. In 1965, RFD started to place all forests under ‘Forest Management (Working) Plans’ and laid down timber harvesting schemes for all of them. The timber harvesting schemes were conceded to timber concessions under the principle of “harvesting yield” control. However, the control mechanism did not work; the forests were over-exploited; and residual forest stands were badly damaged and deteriorated. Government took action to close erring concessions. By 1979 half of the concessions were closed; and by 1988 all the concessions were closed. But the roads opened for logging provided accessibility for landless people to enter the forest. Forest clearance and encroachment spread out to all parts. In 1990, it was estimated that there were about 10 million people living in State Forest Lands. These lands were subsequently allotted to the occupants. Villages and new communities were set up sporadically all over the forestlands (Nalampoon, 2002). c. Deforestation During the last 40 years, Thailand has witnessed heavy deforestation – forest cover declining from above 50% in 1960 to about 20% in 2000. Past attempts to rehabilitate degraded forests met with little success due to overwhelming constraints, and threats posed by encroachers. The RFD with 72 Provincial Forest Offices and 524 District Forest Offices was unable to control the surge of illegal occupation and timber smuggling. Illegal logging became rampant during 1970s and 1980s, leading to deforestation which was exacerbated by encroachments, shifting cultivation and forest fire. During the peak of deforestation in 197678, the country lost 1.6 million ha of forest annually. Following the disastrous flash floods of 1988 in Nakornsithammarat Province, in which several villages were destroyed completely, the Government of Thailand imposed logging ban in January 1989, closing all the natural forests of the country for logging in an attempt to protect the remaining forest. Logging ban and cancellation of all concession licences was partly a response to the fear of further floods and landslides. (In 1996, the Government of Thailand also revoked logging licences in mangrove forests to halt their destruction). The remaining forests are being managed for protection and conservation purposes. The RFD has been rationalized; the Forest Management Division which was responsible for preparing timber harvesting plans has been dissolved. More forest lands are being set apart as national parks, wild life sanctuaries etc, and budget allocated for forest plantations to re-afforest the disturbed forest lands has been increased. Before the logging ban, Thailand produced 3.5 million cum of logs annually, which fell to less than 40,000 cum in 1990, leading to increased imports of logs and manufactured forest products. Contribution of the forestry sector to GDP has steadily fallen, to as low as 0.11% in 1999. With the imposition of the logging ban, the main objective of forestry in Thailand shifted from production to conservation. The Seventh National Economic and Social Development Plan (1992-1996), following the imposition of logging ban, revised the envisaged allocation of forest land – i.e. out of the 40% of land area envisaged for forests, 25% for conservation forests and 15% for economic forests, to emphasise the conservation objective. The impact of logging ban, however, have been mixed. Environmental degradation did not halt, nor did watershed degradation. Lack of a comprehensive strategy to launch the logging ban caused widespread confusion. Some 14 years after imposing the logging ban, illegal loging and upland encroachments remain barriers to forest conservation. The logging ban, has drastically reduced the wood supplies. The situation created a raw material crunch. Processing industries in Thailand increasingly rely on rubber and other plantation-grown wood,
Sustainable Management of Tropical Forests – Private Sector Experiences import of logs and lumber, and also illegal domestic harvesting. The Government attempted a series of initiatives to encourage protection of remaining forest areas, and to encourage private sector involvement in the development of plantations. Several investors, including offshore groups have attempted to establish plantations of fast growing species, but with a limited success. A review revealed that the policy, legal, and land-tenure conditions are not supportive of forest plantation development. Consequently, major private sector investors are looking outside Thailand for land to produce industrial wood. d. Forest Plantations The first teak forest plantation of less than one hectare was established in Phrae province by the RFD in 1906. This activity has been gradually increased to almost 160,000 ha/year in 1980. Upto 2000, the RFD has established 835,235 ha of forest plantations. These plantations have served two main objectives: (1) reafforesting the old disturbed forests and (2) rehabilitating disturbed watershed areas. There are some areas which have been reforested for amenity or aesthetic purposes, but not for timber production (Nalampoon, 2002). The Forest Industry Organization (government-owned enterprise) also started forest plantation programme for its own use in 1967 and the main species planted is teak. The FIO plantations (33,659 ha) are not old enough to be exploited yet, and FIO is badly affected financially. In 1992, the Government enacted the Forest Plantation Act, allowing the private sector to establish plantations in degraded forest land. The policy was inadequate to sustain forestry (FAO 1997j; FAO 2001a). To help the country to become self-sufficient, instead of depending on imported timbers from neighbouring countries, the RFD has launched a forest plantation promotion project in 1994 to encourage and support private land owners and local farmers to establish forest plantations of commercial tree species of a total extent of 1.28 million ha within 12 years. Through this project the private owners of the plantations will receive incentive subsidy of US $ 426 from the government for each hectare of forest plantation. This project has not fared well because of the lack of interest on the part of private sector and local farmers. They consider that investment in forest plantation is quite risky compared to other crops. Upto 2000 this programme covered an area of 160,707 ha. Some commercial firms and government agencies have supported RFD to establish forest plantations. Including these private efforts, total area of forest plantations in Thailand by the year 2000 was estimated as 996,000 ha. e. Protected Areas There are 81 National Parks (4,627,700 ha), 68 forest parks (88,700 ha), 53 wildlife sanctuaries (3,484,900 ha), 55 non-hunting areas (445,200 ha) and 54 arboretums established so far for supporting conservation. Some of these areas overlap each other. f. New Forest Policy The 1985 Forest Policy of Thailand seeks to establish long-term co-ordinated management of forest resources. The policy encourages the private sector to become involved in tree planting projects for both domestic and export supply. It underlines the need for community-based forest management for timber production and collaborative forest rehabilitation. While the policy addresses many of the issues facing forestry related to commercial timber, it is light on issues concerning non-wood products and noncommercial timber species. The policy had envisaged to increase the area of forest cover to 40% of the land area, i.e. 15% under PAs and 25% under production-oriented forestry. (This proportion of PAs and production-oriented forestry was reversed in the Seventh National Economic and Social Development Plan, 1992-1996). g. National Forestry Plan The Forest Sector Master Plan of Thailand, formulated in mid-1990s is designed as an integral part of the National Social and Economic Development Plan. The plan has been described as a timely response to a forestry situation “that has sunk to the bottom” (Nalampoon, 2002). Reforestation and afforestation are seen as important initiatives required to supply future wood needs. Implementation of the Master Plan has, however, been hindered by several constraints, mostly of institutional nature.
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Sustainable Management of Tropical Forests – Private Sector Experiences h. Constraints Forestry in Thailand is constrained by several factors. These, among others, are: heavy pressure on forest land; illegal removal of forest products and encroachments; continuing de-forestation; inadequate forest protection; inadequate participation of private sector; institutional weaknesses; low contribution of forestry to GDP; lack of monitoring and evaluation; and inadequate awareness about, and priority for, forestry. [Sources: FAO 1997j, FAO 1999a, FAO 2001a, FAO/RAP 2001, White & Martin 2002, Nalampoon 2002]
5.7.10 Vanuatu The islands of Vanuatu generally consist of a narrow coastal plain rising through broken foothills to a steep mountainous interior. Much of the interior country is forested. There are four main islands – namely Santo, Efate, Malekula and Erromango. The Government’s development priorities are geared to the rational utilization of natural resources and the expansion of the cash economy through an increased participation/contribution of the private sector. The largest components of the GDP are the contributions of agricultural and industrial sectors and tourism. Offshore financial services are also important. The major agricultural commodities are copra, beef, and cocoa. The majority of the rural population live in a subsistence economy. a. Forestry Situation Forestry is the responsibility of the Ministry of Agriculture, Forestry and Fisheries. The Department of Forestry, established in January 1980, is responsible for all reforestation, afforestation and small-scale sawmilling programmes. Forestry is quite important to rural communities. It is one of their main sources of cash income. In addition to the commercial forestry operations, the forests provide a wide range of products for the subsistence lifestyle of most ni-Vanuatu. The quality of natural forests, in terms of commercial forestry, is poor. Much of the natural forest is on steep, inaccessible sites; and even accessible sites contain few species of commercial value. In the mountainous island interiors much of the natural forest has primarily a protective role. However, even these forests have been degraded by grazing and in places due to burning. In some areas, erosion and soil degradation are significant problems. b. Production Management Forests can be categorized as indigenous hardwood forests and exotic plantation forests. Forested land is held under customary ownership by individuals or families. Land has not yet been classified according to function or optimal landuse or land capability. Log exports were banned from 1989 through 1993. The ban was lifted in mid-1993 but re-introduced in May 1994. Logging concessionaires were invited to renegotiate timber licenses based on a sustainable level of harvest; and new licenses were granted in 1995 for significantly reduced volumes. The permissible annual cut was 206,500 cum, but the total harvest was only 44,000 cum in 1994 – less than 29% of the national sustainable yield level. According to the National Forest Inventory carried out in 1994, it is estimated that the total forest area suitable for logging is only about 117,000 ha., and the total forest growing stock about 13 million cu.m. However, only about 20% of the total forest resource would be commercially available, the rest being unsuitable due to steep slopes, dissected land forms, low sawlog volumes, and cultural reasons. c. Forest Plantations Vanuatu’s Department of Forestry has operated two plantation forestry schemes over the past several years. The success of these has been limited. Local Supply Plantations (LSP’s) were planted between 1975 and 1986 to meet future wood needs at the village level. These plantations were established on the recognition that the natural forests, because of their quality, composition and distribution will not indefinitely meet wood needs. A second plantation scheme, Industrial Forestry Plantations (IFP), began in 1982 and was designed to establish larger areas of forest plantations for supporting processing and export supply. Once again, establishment targets have not been met, and locations of the existing plantations are not favourable for logging and log transportation. It is likely that these plantations will also be eventually utilized for domestic supply. In 1991 IFP totaled 1,200 ha of mainly Pinus caribaea. As of 1996, the total area under plantations was 20,910 ha.
Sustainable Management of Tropical Forests – Private Sector Experiences d. Logging A Code of Logging Practice was developed in collaboration with Australian Aid and in consultation with the industry sector. The Code is designed to foster the application of sustainable forest harvest practices. The Code will be a catalyst for upgrading industry standards. Controlled logging has been increasingly observed and damage to the forest has been reduced. Logging companies are required to prepare and submit a coupe harvesting plan providing details of all operations, which has to be approved by the VDF before logging commences. RIL is now being introduced to further improve the logging system. e. Wood Processing Industry The wood processing industry in Vanuatu is not well developed. The sawmilling industry comprises three significant fixed-site mills and several smaller mills plus around 50 portable sawmills which operate sporadically and produce relatively low quality timber. The fixed-site mills generally have some form of pressure treatment facilities. There is one plant producing low grade veneer, and a small furniture manufacturing industry producing for the domestic market. The Government of Vanuatu has intermittently operated a log export ban to assist in developing a domestic processing industry. Timber preservation techniques were introduced by New Zealand and it resulted in an increased use of white wood for building construction and furniture making. A notable item of Vanuatuan forestry export is sandalwood. This has been Vanuatu’s most famous forestry export for upwards of a century. Over the last few years, local processing facilities for a few NWFPs have come-up – Sago fruit shells, Canarium nuts, Baringtonia nuts etc. f. National Forest Programme and Policy In early 1991, the Government officially initiated the National Forest Programme. An important outcome of the initiative was a draft National Forest Policy. The draft National Forest Policy defined a series of objectives, measures, and strategies for implementation under 9 major headings: • • • • • • • • •
Forest Management. Environment and Conservation. Landowners and Communities. Forest Industries. Afforestation and Extension. Forest Research. Forest Training and Education. Forest Administration. Forest Revenue.
The Department of Forestry maintains a policy of open co-operation with NGOs and collaborates closely with some programmes carried out by NGOs. The policy considerations are reflected in the objectives of the National Development Plan for Forestry. These are: • • • •
Attain self-sufficiency in domestic requirements of sawn timber and other forest products. Develop a surplus of forest products for export. Encourage the increased participation of ni-Vanuatu in forestry sector programmes. Improve the efficiency of exploitation of forest resources and institute a programme for the long-term management of these resources for the benefit of the present and future generations. • Investigate and, if feasible, develop forest resources as an alternative source of energy.
g. Laws, Rules and Regulations In support of the National Forest Policy, there are legal acts, rules and regulations covering: establishment and security of PFE, land tenure and property rights relating to forests, forest management, forest harvesting, control of encroachments, health and safety of forest workers and participation of local communities.
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Sustainable Management of Tropical Forests – Private Sector Experiences The level of staffing in the VDF is not adequate. The forestry and other departments depend largely on the resource owners to come forward to report on any breaches of the regulations by the concessionares. h. Public Participation The current legislation provide a mechanism for a wider and more consultative planning process. This mechanism provide for a management committee comprising provincial/state representative, VFD representative, resource owners’ representative, and representatives from Environment and Lands Department. i. Protected Areas There are 5 PAs covering an extent of 8,366 ha falling within mid-high forest, low forests and mangrove forests. The PAs are connected by biological corridors. Currently, Vanuatu does not have any procedures to identify endangered, rare and threatened species of forest flora and fauna. j. Constraints Some of the major constraints being faced in the forestry sector of Vanuatu are: smallness of the country; low level of technology; inadequate human resource and planning capability in the forestry sector; lack of adequate funding to undertake important activities; reluctance of private companies to adopt improved practices of forest management and harvesting; and lack of monitoring and evaluation of forest management activities/ programmes. Sources: FAO 1997e, FAO 1999a, VDF 2002]
5.7.11 Common Regional Issues and Lessons The forestry situation in the ten ITTO-PMCs in Asia-Pacific region, while being specific in many aspects, dictated by its history, demography, political system and geographic location, brings out a number of common issues related to the involvement of private sector in forest resource management and deficiencies in public forest administration. These, among others, include: - unscientific management (including cutting outside of allotted cutting areas; AAC, specified species and size classes); - lack of appropriate landscape management; - inadequate attention on NWFPs - illegal activities; - concealed subsidies, inadequate rent capture; - inadequate backward and forward linkages; - distortion of people-forest relationships; - avoidance of social obligations; - unconcern for nature/environment and undue concern for monetary benefits; and - maximising private benefit/profit causing undue and avoidable cost to society. As analysed by ADB, while trade is a major engine for growth and a powerful tool for poverty reduction, macro-economic stability and quality of governance are pre-requisites in these regards. A well functioning market economy is the result of trusted partnership between the State and the firms. Both should behave in a trustworthy and transparent manner. For a developing nation, long-term sustainability and growth depends on the combined capabilities of all the main economic actors (e.g. firms, governmental bodies, educational institutions, providers of infrastructure) to implement effectively the strategies for sustainable growth and development. It is unlikely that any developing country has ever achieved or could achieve, excellence/success without a substantial degree of innovation in the policy, institutional and technological arenas. The ITTO-PMCs in the Asia Pacific region seem to exhibit a sequence of stages, in the field of forestry – low population pressure, forest exploitation for financing development, expanded logging activities going out of control, increasing level of illegal activities and deforestation, forest governance becoming weak and succumbs to corruption, shrunken forest made out-of-bounds for use, people/farmers start “cultivating”
Sustainable Management of Tropical Forests – Private Sector Experiences forest to meet market demand. In country after country, the trend seems to be repeating. There may be some differences in the actual paths taken; but general direction appears to be the same. India has about reached the final stage of the march; and is being closely followed by Philippines and Thailand with Cambodia, Indonesia and Myanmar not far behind it. Malaysia has taken hesistant decision to stop the march or to go at a slow pace. PNG has just started on the march and seems to think that it has inexhaustible resource, to last for ever. Considering the facility to move logs easily and speedily across oceans, PNG’s logging activities can also go out of control and the country can slide fast along the path to catch up with others ahead – unless it can break the trend with determination. Some of the important similarities among the countries are the following: • The ITTO-PMCs in the Asia-Pacific region have realized the importance of involving local community, and the need to follow C&I for SFM. • The rights of indigenous communities on the forest resource have not been settled in these countries and this is causing conflicts, tensions and confrontations. • India and Thailand has banned logging in natural forests and Philippines in old growth forests. In both these countries wood processing units are increasingly depending on wood from non-forest sources, and on log imports. In Java (Indonesia), some of the mills are using wood grown in farms and homesteads. • There are land boundaries between Indonesia and Malayaisa, PNG and Indonesia, India and Myanmar, Myanmar and Thailand, and Cambodia and Thailand. Cross border movements of illegal logs have been alleged, mainly from Indonesia into Sarawak, Malaysia. There is need for cross boundary collaboration in the area of forestry and environmental conservation. • The major exporters of wood and wood products (i.e. Indonesia and Malaysia) have established arrangements for certifying FMUs, as well as for product certification. For the other countries this does not seem to be a priority. Some of the common constraints seen among these countries and their implications will be discussed in the section on Important Issues. 6.0
Q500 SURVEY ANALYSIS
6.1 The Questionnaire Survey The Questionnaire Survey (Q500) carried out (between January and July, 2002), as part of Stage I of the Project sought independent, written responses from a large number of companies/entities involved in the management of forests and/or forestry enterprises. 82 responses were received from those contacted in the Asia-Pacific Region. The responses received represent only about 15% of the Q500 sent out or 40% of the 200 responses envisaged for the Asia-Pacific region. While the response rate was low and below expectation, it was not disappointing. 86% (i.e. 71 out of 82) of the responses were of good quality and contained very useful and interesting information, covering a wide range of situations – fully adequate for continuing with the study. To that extent, the results of Q500 in the Asia/Pacific region was encouraging (Table 14 and Figure 5).
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Sustainable Management of Tropical Forests – Private Sector Experiences Table 14. Q 500 – Response rate
Country
Addresses obtained
Cambodia Fiji* India Indonesia Malaysia Myanmar PNG Philippines Thailand Vanautu TOTAL
17 1 142 484 40 4 28 91 1 1 809
Q500 mailed
Responses received
17 1 68 348 40 4 28 40 1 1 548
Nil 1 22 21 32 Nil 3 3 Nil Nil 82
Note: Copies of Q 500 were sent to those involved in timber production/logging, forest plantations, NWFP (bamboo, beedi leaves, rattan, medicinal plants) management, recreation/tourism, integrated forestry/forest industry management, JFM Committees, others (eg. crocodile/reptile farming, coral utilisation, rehabilitation of mining sites). * Information on the Fiji Case (Fiji Pine Ltd) was compiled by the consultant. 600 Cambodia 500 Fiji India
400
Indonesia Malaysia
300
Myanmar Papua New Guinea
200
Philippines Thailand
100
Vanautu 0 Address Obtained
Q500 Mailed
Response Received
Figure 5. Q500 – Response rate
6.1.1 Reasons for the Poor Response There are several reasons for the poor response: • In the recent past, several logging concessions have been closed down, and several of the addresses, to which Q500 was sent, were non-existent. Many of the questionnaires came back undelivered. • Many of the operators are involved in mining of timber and are not interested in answering the questionnaire truthfully. The issue is non-observance of SFM. This is particularly an important factor in Indonesia, as informally confirmed by some company officials themselves. • The concessionaires are afraid of the NGOs. Even the good ones try to avoid limelight, fearing that the NGOs may question the veracity of their claims. • Reluctance to get associated with intergovernment/international agencies. For example, one country was not happy with an article appeared recently in the Tropical Forest Update, suggesting rampant illegal logging in that country. • Requirement on the part of some governments that the questionnaires should be sent and replies received through a designated government agency. • In some cases (e.g. Philippines) the period of concessions/contracts are about to be over and there is uncertainty about renewal. • In other cases, the concession system is in its infancy (e.g. Cambodia) with all its teething troubles.
Sustainable Management of Tropical Forests – Private Sector Experiences 6.2 Analysis of Responses A summary of analysis of the responses received to Q500 is given in the following paragraphs: 6.2.1 Ownership and Tenure Types Ownership of the responding companies ranged from purely public (e.g. state-owned corporations/enterprises) to purely private. Out of the 82 responding entities 48 (or 58.6%) were fully private, 14 (or 17.1%) were fully owned by the State, another 12 (or 14.6%) were under joint ownership of government and private companies, 5 (or 6.1%) were participatory models i.e. local Joint Forest Management Committees, 2 (or 2.4%) were community owned and 1 (or 1.2%) was owned by a co-operative federation (Figure 6). 60 48
Number of Companies
50 40 30 20 14
12
10
6 2
0 Government
Govt. Private Sector Joint Venture
Private Sector
Community Owned Others (JFM & Coop.)
Note: Tenure Ranges from 3 years in respect of a JFM in India to 100 years for a forest concession in Sabah, Malaysia.
Figure 6. Distribution of companies which responded to Q 500 by ownership
Inspite of government ownership of most forest resources in the region, private entrepreneurs dominate production activities (involving considerable investment) and marketing of products. The three responding companies in PNG are privately owned; in Malaysia , 75% of the responding entities are fully private; and in Indonesia 57% of those responded are of full private ownership. The period of tenure or lease, in cases where publicly owned forest resources are managed by private sector, ranges between 3 years and 100 years, depending on the nature of enterprise and related regulations. 6.2.2 Claims of Sustainable Forestry Practice 69 (or 84.1%) of the responding companies claimed that they are practicing sustainable forestry, most of them from inception or for a very long time (Figure 7). The claims about sustainable forestry practice depends on the perceptions and understanding about the concept of sustainability in general, and SFM in particular. Response to the question: “whether sustainable forestry being practiced” will be somewhat subjective, depending on the interpretation of those responding. There is no unambiguous and fully accepted definition, yet, for sustainable forestry. Even those who are not practicing SFM, but have intention to do so, may consider themselves to be in a grace period (and entitled to respond positively). The claim of sustainable forestry practice on the part of respondents, in many cases, was found to be inconsistent. An objective screening found that only 22 (26.8%) companies can be considered as practicing SFM, based on their own responses to other questions. However, the fact that 84.1% of respondents claimed that they are practicing sustainable forestry is by itself significant – in that they consider it desirable (and even noble) to do so from the point of view of social and intergenerational equity and ethics. Probably this is a clear indication of awareness; and with some prompting (and prodding), they will be amenable to practically implement SFM.
283
Sustainable Management of Tropical Forests – Private Sector Experiences
80 69
70 60 Number of Companies
284
50 40 30 20 13 10 0 Yes
No
Note In respect of a number of companies, subsequent responses indicate (in the absence of supporting evidence), either that forests are not sustainably managed or that they only plan to introduce SFM
Figure 7. Companies reporting adoption of sustainable forestry practices
6.2.3 Integration of Forest Management with Processing Industries Forest management activities are integrated with processing industries in respect of: 41% of responding companies in India; 76% in Indonesia; 50% in Malaysia; 66% in PNG and 33% in Philippines. The situation has come about due to influence of historical factors. Mechanical wood industries dominate the scene. Pulp and paper is emerging as an important sector. It is interesting to note that all the respondents having processing of NWFPs are in India, a country which has banned timber harvest in natural forests, and this has resulted in NWFPs emerging as a source of income from forests. In 37 cases there is yet no integration with processing industries. Of the 45 companies having industrial processing facilities, 32 have sawmilling; 21 have plywood mills; 11 have wood works; 4 have pulp and paper and 3 have NWFPs. Only one company each produces wood chips and charcoal (Fig 8). 35
32
30 27 25 21 20 15 11
9
10 4
5
3
1
1
Chipwood
Charcoal
0 Sawmill
Playwood Mill
Wood Works
Pulp & Paper
NWFPs (Medicines Beedi Leaves)
Integration Planned
Not Integrated
Note: Since some concessions/FMUs are integrated with more than one industrial type, the total may not tally.
Figure 8. Status of responding companies with regard to integration with industries
6.2.4 Size of Holdings 66 (or 80%) of the 82 responding companies fall in the holding size class of 1,000 to 500,000 ha. The largest number in any one size class is 21 (or 26% of responding companies) in the size class of 100,000 to 500,000 ha. Three companies in the size class of over 1,000,000 ha hold 11.4 million ha or 58% of the total area of holdings of all responding companies (Figure 9). This skewed situation is caused by one company, namely the M.P. State Minor Forest Produces (Trade and Development) Co-operative Federation Ltd, having control over 8.6 million ha of forest land in the Madhya Pradesh State of India. 25
20
15
10
5
0 Less than 100 ha
100 - 1000 ha
1000 - 10,000 ha
10,000 - 50,000 ha
50,000 - 100,000 ha
100,000 - 500,000 ha
500,000 1,000,000 ha
More than 1,000,000 ha
Figure. 9. Distribution of responding companies by size of holdings
Sustainable Management of Tropical Forests – Private Sector Experiences 6.2.5 Human Resource Development Responses to the three sets of questions in Q-500 relating to HRD was found generally to be inadequate. They were related to: (i) the size of manpower of different categories (ii) training and enhancement of human resources and (iii) company facilities and welfare activities, respectively. Therefore, no attempt is made to tabulate information on these aspects, because responses on these are not consistent or carefully made. In some instances the entire labour force of both forestry and forest industry operations have been included without any breakdown. For example, a company with 290,000 ha of concession holding has shown employment of 250 professional, 2,900 skilled and 14,850 unskilled workers, whereas another with a holding of 739,000 ha has only employed 28 professional, 240 skilled and 330 unskilled workers. Also, details of training and company facilities are provided in a haphazard manner. Therefore, it is difficult or inappropriate to use the information as it appears in the responses as indicating the level of sustainability of forest management or as criteria for selecting QS2 candidates. 6.2.6 Safety Record Accidents and mortality (safety record) are indicative of the efficiency and effectiveness of company management; and that in turn contributes to sustainable development. Only 59 companies (72% of those who responded) were accident and mortality free; and it shows scope for improvement, particularly in areas of labour welfare (Figure 10). In respect of the 23 cases of accidents / mortalities, it would have been useful to know whether these had happened in the forestry sector or the processing / transport sector, in order to take action for improvement. 6.2.7 Log Production Thirty companies (representing 37% of responding companies) did not provide any information about the quantity of logs produced from plantation forest and/or natural forest. Few of these companies are in the stage of starting up their operations (e.g. some in Malaysia), and few others are producing only NWFPs (e.g. medicinal farms and JFM Committees in India). There are also others who have not assigned any reason for the omission to give details (Figure 11). Log production from forest plantations is carried out only by 17% of the responding companies, indicating an area where improvements (and interventions) are feasible and necessary. 70
60
59
Number of companies
50
40
30
20 13 9
10
1 0 No accidents or mortality
Accidents but no mortality
Both accidents and mortality
Only mortality
Note: No information is available on whether the accidents / mortalities were in forestry or forest industry operations or by reasons such as wildlife attack, floods etc.
Figure 10. Details of accidents reported by responding companies, 1999/2000 50 45
44
Number of companies
40 35 30 30 25 20 14
15 10 5 0 Production - Natural forest
Production - Plantation
No Production Reported
Note: Since production has been reported both from natural forests and plantations by some companies, total of companies may not tally.
Figure 11. Round log production reported by responding companies
285
Sustainable Management of Tropical Forests – Private Sector Experiences 6.2.8 Wood Processing Obviously, the companies involved only in the production of logs and NWFPs would not respond to this question. 56 companies, representing 68% of the responding companies are not involved in production of processed wood products (Figure 12). Strictly information given on production of processed wood products should tally with that given about integration of forest management with processing industries. But they do not!. More companies have claimed integrated operations than those involved in actual production. Probably the claims have included the proposals for future! 60 56 50
40 Number of companies
286
30
20
18 14
10
7 3 1
1
0 Swan Timber
Veneer / Playwood
Wood Works
Pulp / paper
Chipwood
Charcoal
No Reported
Note: Since production of more than one product has been reported by some companies, total of companies may not tally.
Figure 12. Production of processed wood products by responding companies
6.2.9 Management of NWFPs Eventhough management of NWFPs has the potential to enhance SFM, 64 of the responding companies (representing 78%) have nothing to do with NWFPs (Figure 13). This response is, however, consistent with the information given about integration of forest management with processing industries. Obviously, of the 18 companies involved in managing NWFPs, only 3 are engaged in NWFP–based processing. There is need and potential for improving management and utilisation of NWFPs, for promoting SFM. 70
64
60 50 40 30 20 9
8
7
10
3 0 Medicinals
Bamboo
Rattan
Others
None
Note: Since more than one NWFPs are produced by the same company, the totals may not tally.
Figure 13. Management of non-wood forest products by responding companies
6.2.10 Forest Services From the responses received, it would appear that respondents were not clear about the scope and significance of the question relating to services. Since more than half of the responses are positive, it can be surmised that a majority considers it a good thing to promote forest based services (Figure 14). A service can become a product if there is demand/market for it (e.g. nature and wilderness tourism, facilities for research and field education, carbon sink). 45 39
40
36
35 30
30 25 20 15 11 10 5 0 Recreation
Conservation
Protection
None
Note: Since more than one service is provided by the same company, the totals may not tally.
Figure 14. Number of responding companies providing forest services
Sustainable Management of Tropical Forests – Private Sector Experiences 6.2.11 Forest Management Planning It is interesting, and encouraging, that 64 companies/entities (78% of the responding total) have some system of forest management planning. Since we are dealing with selected FMUs, the response, however, is not a surprise (Figure 15). The response here is consistent with that to the question on sustainable forestry practices (Figure 7), where 13 companies had replied that they do not practice SFM. These 13 companies, as can be expected, are part of the 18 companies having no forest management planning system. In responding to the second part of the question about consistency with ITTO guidelines, the companies are somewhat equally split – 42 companies saying “yes” and the other 40 saying either “no” or “do not know”. While the answer of “no” or “do not know” cannot be taken as an indicator for “unsustainability”, it surely points to the need to have an intensive drive to disseminate the ITTO guidelines more widely! 6.2.12 Company Holding by Forest Types The forest types being managed by the 82 responding companies include : tropical rain forest (7,199,331 ha), semi-evergreen forest (720 ha), deciduous forest (9,371,176 ha), swamps and wetlands (572,924 ha), mangroves (136,112 ha), forest plantations (918,952 ha) and others (1,421,927 ha), giving a total of 19,621,142 ha. (Figure 16). The area reported here is expected to correspond with those reported under size of holdings (Figure 9) which it does, more or less. 51companies (62% of those responding) are managing tropical rain forest, having the largest spread; 28 companies have plantations; and 11 companies (exclusively in India) are involved in managing deciduous forests. Swamps and mangroves are managed by 8 companies (for production of timber, charcoal and woodchips) in Indonesia, Malaysia and PNG. There are several aspects of forest management relating to forest types, which will be pursued during the QS2 stage – i.e. current condition of vigour/health; level of productivity; potential for intensive management; conservation measures required; appropriate silvicultural management system etc. 45
42
40
40 35 30 30 25
22 18
20 15
12
10 5 0 Long Term
MediumTerm
Short Term - upto 5 yrs.
No Plan
Consistency to ITTO No consistency to ITTO Guide Lines Guide lines
Figure 15. Number of responding companies having forest management planning system 60
10000 51
8000
7199
7000
40 Number of companies
9371
9000
50
6000 28
30
5000 4000 3000
20
2000
11 8
10
5
1000
7
Tropical Rain Semi Evergreen Forest Forest
0 Tropical Rain Forest
Semi Evergreen Forest
1422
Deciduous Forest
Swamps & Wet Lands
Mangroves
573
0.7
919 139
0
2
Others
Deciduous Forest
Swamps & Wet Lands
Mangroves
Others
Forest Plantations
Forest Plantations
Note: 1. Since different categories of forests are held by the companies, their total may not tally. 2. Other categories of land include areas under shifting cultivation, degraded forest, bamboo growth and the like.
Figure 16. Different forest types being managed by responding companies
6.2.13 System of Silvicultural Management The predominant system of silvicultural management reported by the respondents are those being practiced in the tropical rain forests of Indonesia and Malaysia (variations of selection and/or uniform system). Clear felling and seed tree systems are applied for managing forest plantations and also for managing/rehabilitating degarded forests. Coppice system and its variations are applied essentially in India for managing the deciduous forests (Figure 17).
287
288
Sustainable Management of Tropical Forests – Private Sector Experiences Eleven respondents are not following any system of management. As can be expected, they overlap with the group having no sustainable forestry practice and/or having no system of forest management planning. 30
27
25
25 20 15
14 12
11
11 9
10 5 0 Clearing Felling
Seed Tree
Shelter Wood
Selection
Coppice
Others
No System
Note: Since there are different systems being followed by the same company, the number may not tally. Some are likely to have reported the system envisaged for the future.
Figure 17. Management systems being practiced by responding companies
6.2.14 Standards and Controls in Forest Management Eventhough 50 companies (61% of those who responded) reported that they follow minimum acceptable standards for management of different forest types, the details provided are scanty. There is also the likelihood that those who have not responded, possibly, may not have clearly understood the question. The responses follow the same pattern for the question on prescription of annual allowable cut (Figures 18(a) and 18(b)). While 48 companies responded as having prescribed AAC, only 34 companies reported to have kept within the prescribed limit of AAC – indicating the gap between prescription and action. This, of course, is a problem for achieving SFM in most situations. It is also significant to note that 45 respondents did not provide the details on actual cut as percentage of AAC. 6.2.15 Harvesting Plans and Systems Harvesting plan is said to exist in 64 companies, 78% of all those who responded (Figures 19(a), 19(b) and 19(c)). This number is exactly the same as the companies having forest management planning system (Figure 15). But the harvesting plan is implemented only by some 57 companies (69% of responding companies), again indicating the gap between plan and action. Mechanical logging with tractor skidding is the most prevalent system being followed. 6.2.16 Practice of Silvicultural Operations Details of responding companies which implement appropriate silvicultural operations are summarized in Figures 20(a), 20(b) and 20(c). The operations specified here are the ones normally prescribed in forest management plans (and also in harvesting plans). It is noted that 64 companies have management plans and also harvest plans (Figure 15). Compared to that, only 43 companies conduct post harvest regeneration survey. That means 21 companies or 33% of those having management plans do not bother about implementing the plan. In respect of other silvicultural operations as well, the situation is similar. The message is that without bridging the gap between planning and practice, sustainability cannot be ensured for forestry on a large / national scale. 60
50 45 45
50
50
48 40 35
40 Yes No
30
34
30 25
Not specified 20 20
20
19 15 12
15 10
10
5 0
Less than 100% 3
0 Minimum Acceptable Standards Followed
Annual Allowable cut prescribed
Above 100% Details Not Provided
Annual cut aspercentage ofAAC
Note: Some companies have reported the controls envisaged for future as currently existing
Figure 18. Standards and controls in forest management adopted by responding companies
Sustainable Management of Tropical Forests – Private Sector Experiences
70
45
Number of Compenies
64 60
40
50
35 30
40
25 20
30
15
20 Yes No No Answer
7
0
Tractor Skidding High Lead Skyline Yarding Other No Replay
10
11 10
5 0 Type of Harvesting System
Harvesting System Exists 58 57 56
56
54 52
52 50
50
Pre - Harvest Inventory Road Planning Stream Buffers
48
Directional Felling
46 Number of Companies doing Scientific Operations
Note: • Since the companies use more than one harvest system, totals may not tally. • As in previous instances, some companies appear to have reported what is envisaged to be done in the future, as current or factual situation.
Figure 19. Existence of harvesting plan and systems in the responding companies 50 45
45 41
43
40
40
35
35
28
Yes No No Answer
24
25
Number of Compenies
30
30
20 15 15 10
Natural Regeneration Enrichment Planting Replanting Other Methods
25 20 15 10
7
5
5 0
35
0 Re - generation system Practiced
Post Harvest generation Survey Conducted 35 32 30
29
25 Climber Cutting Cleaning Tree Girdling Others
20 15 11 10 6 5 0
Other Silvicultural Operations conducted
Note: Some companies appear to have reported the practices envisaged or planned for the future, as current or factual situation
Figure 20. Practice of silvicultural operations in responding companies
6.2.17 Bio-Diversity Conservation The responses to the group of questions relating to bio-diversity conservation show the respondents, generally, in a good light; and by projection the private sector gains a good image. 55 out of the 82 responding companies (67%) have areas reserved for conservation and protection; 58 (or 71%) of the responding companies do not have any endangered species in their holding; and no shooting or hunting is allowed by 75 (or 91%) of those who responded to Q 500 (Figure 21). It is likely that the answers to the questions are based on the interpretation of the terms (protection, conservation, endangered species, shooting and hunting), and also based on whether the questions on biodiversity are relevant to the companies concerned. To make the responses more meaningful, it is necessary to classify the companies, based on the nature of their forest holdings, their location etc.
289
Sustainable Management of Tropical Forests – Private Sector Experiences 80
75
70 58
60
55
50 40
Yes No
30
27
24
20 10
7
0 Are there areasreserved for protection or conservation
Are there endangered spp. In your concession
Is shooting and hunting allowed
Figure 21. Bio-diversity status in responding companies
6.2.18 Social Issues and Contributions In respect of social contributions and the way social aspects are handled, the responding companies appears to be faring well. In 75 cases (or 91% of those responding), there are local communities living in and around the company holdings; and 58 (or 71%) companies are employing them (Figure 22). In 39 (i.e. 48%) cases local communities practice shifting cultivation; they are mainly in the logging concessions of Malaysia, Indonesia, PNG and Philippines. In 54 (i.e. 66%) cases, the local communities are allowed to hunt, fish and gather food and fuelwood for own use. This last response on hunting and fishing by local communities may be compared to the answer given for questions on bio-diversity conservation (Figure 21), where 75 (i.e. 91%) companies had stated that no shooting or hunting is allowed in their holdings. This is an instance of contradiction or interpretational difference!. 6.2.19 Legal Violations 95% of those responded (78 companies) have stated that they were not involved in court cases for violation of forest laws in 1999/2000 (see Figure 23), and this generally reflects good performance standard. This, however, is a simplistic response, because violations of agreement conditions (e.g. harvesting above AAC, non-compliance of prescribed operational standards, harvesting outside of areas approved in management plans), often, are not referred to the courts, but are handled by the Public Forest Administration. It is, therefore, necessary to look into contraventions of terms and conditions of concession agreements or contracts, as well as of technical prescriptions, to assess the extent of compliance (or otherwise) to the principles of SFM. 80 75 70 58
60 Number of Companies
54 50 39
40
43
Yes No 28
30
24 20 10
7
0 Are there local communitities living in and araound the concession
Do they practice shifting cultivation
Are they allowed to hunt fish, gather food and fuelwood for own consumption and use.
Are they employed in your company
Note: Some companies have reported what has been envisaged for future (e.g. employment of local people) as current or factual situation
Figure 22. Social issues and contributions of responding companies 80 78
70 60 Number of Companies
290
50 Yes
40
No 30 20 10
4
0 Are they court cases involving violation of forest laws in 1999/2000
Figure 23. Security and law enforcement situation in the responding companies
Sustainable Management of Tropical Forests – Private Sector Experiences 6.2.20 Research and Development The situation of R&D in the responding companies has been summarized in Figure 24. Out of the 82 responding companies, 44 (54%) are undertaking R&D activities, and 22 of them have projects taken-up with external or domestic funding. 70 60
60 50 Number of Companies
44 38
40
Yes 30
No 22
20 10 0 Do you undertake any R & D activities
Are they any project conducted with external or national funding
Figure 24. R&D activities in the responding companies
6.2.21 Certification for SFM In response to Q 500, 13 companies have stated that their concession is “certified” and 45 others have stated that they intent to undertake forest certification (Figure 25). Thus, 58 companies (71% of those who responded to Q 500) are in the fray for practicing forest certification. 80 69
70 Number of Companies
60 50
45 Yes
40
No 30
24
20 13 10 0 Is the concession certified
If no, do you intent to undertake forest certification
Figure 25. Forest certification in responding companies
The 24 companies which have no intention to undertake forest certification are either small local ventures (like JFM Committees in India), or those which have no export ambition (e.g. some of the Government Corporations in India), or those which are uncertain about their continued existence due to Government policy changes of (e.g. in Philippines) or those which have not yet experienced market pressure (e.g. the operations in PNG); or those having other reasons. The situation augurs well for SFM. More details are required to make a clear and meaningful analysis of how the certification process is affecting forestry operations of the private sector and its impact on various components of scientific forest management. 6.3 Findings While recognizing that responses to Questionnaire Surveys, often tend to be proper than honest, the analysis indicated clearly that in a majority of cases forest management is inadequate and, often, unsustainable. In a number of aspects, there were gaps between policy (or principles) and practice. The plans are, in several cases, not implemented. The general lesson that could be drawn is that without bridging the gap between policies/planning and practice, sustainability cannot be ensured for forestry on a large/national scale, and on a long-term basis. At the same time, it is heartening to note, from the responses received, that some 25% of forest managers/entrepreneurs are committed to the cause of sustainable forestry. The excellence of the minority is a matter which gives hope for the future.
291
Sustainable Management of Tropical Forests – Private Sector Experiences 6.3.1 On to QS2 In spite of the inherent deficiencies of Questionnaire Surveys, such as the personal bias of the respondents and different interpretation of the questions, an analysis of the responses of Q500 considerably helped to identify areas where special attention needs to be bestowed during Stage 2 of the project. While awareness about concepts and formulation of plans and strategies are important parts of the process towards SFM, it is more important, rather vital, to see whether there are (and if so the nature and extent of) gaps between plans and practices/actions. The Q500 questionnaire survey helped to identify and locate some such important gaps. Accordingly, outlines for preparing specific case studies under QS2 was drawn up, with the benefit of lessons learned from the Q500 survey. 7.0
ANALYSIS OF CASE STUDIES
7.1 Selection of Cases for Stage 2 (Qs2) Based on detailed analysis of the responses to the Q500 questionnaire survey, the responding companies were screened for identifying candidates suitable for detailed profiling in Stage 2 (QS2). 22 companies/institutions out of the 82 were found qualified, in the screening process.
Repeat Cycle
Q500 RESULTS
Yes N<22
ELIGIBILITY
No
eliminate
Repeat Cycle
Yes N>22
Yes N<22
SUSTAINABILITY
No
eliminate
Yes N=22
Repeat Cycle
292
Yes N<12
STRATIFICATION & ADJUSTMENT
No
eliminate
Yes N=12
END
Figure 26. QS2 selection flow chart
The screening adopted a process of successive elimination of those found deficient in relation to sustainability criteria (such as: not following sustainable forestry practices; not having management planning system; having no harvest plan; not adopting minimum standards and controls like AAC; lacking in professional and trained manpower; and showing great discrepancy in responses to different questions). The intention was to ensure that the performance of the candidates (companies) chosen is technologically correct, socially responsible, environmentally appropriate and economically efficient. The model of QS2 selection flow chart is given in Figure 26.
Sustainable Management of Tropical Forests – Private Sector Experiences Considering the need for stratifying the samples to be profiled, and the need for balance based on geographic coverage, resource and product categories, type and size of management operations and so on, 12 companies were selected (out of the 22 companies found qualified) for stage 2 study, following a rational approach. Apart from meeting the major sustainability criteria, the cases selected are also those which have addressed some of the problems discussed under the sections on conceptual aspects and regional situation – i.e., the need for: meticulous planning and methodical implementation; consistency as shown in the longevity of sustainable service; research and technology development; dynamic approach to sustainable development through enhanced productivity; innovative approaches; emphasis on socio-economic and environmental benefits; people’s participation; transparency and stakeholder consultation; improved institutional structures; and capability for adjusting to changing situations. The 12 companies are listed in Table 15. 7.1.1 Characteristic Features of the Cases The selected cases (companies) represent a range of situations with regard to size, product mix, management system, method of harvesting operations, tenurial arrangement, source of investment (ownership), utilization of harvested produce, market for products, and experience (period of existence) of the company (Table 16). Case Study Methodology The selected companies were contacted, supported by a formal letter from the Executive Director of ITTO, regarding their agreement to support the case studies, convenient dates to receive the Consultant (and in respect of Malaysian cases, representatives of the Project Secretariat in Kuala Lumpur), arrangements for local transportation and logistics etc. The companies were very co-operative and welcomed the visits. They provided specific indepth information, as requested. All the case study locations and company head quarters were visited between August 2002 and January 2003. Since the official documentation of forest concessions in Indonesia are kept in “Bahasa”, the consultant had to arrange for the services of a local consultant to translate and organize the study materials in English. Similarly, local support had also to be arranged in respect of the two Indian cases as they respectively involved compiling information from a large number of tribal groups/co-operatives and individual farm families, speaking different languages. The “ownership” of the company profiles/case studies will rest with the respective companies; and the role of the consultant essentially was to facilitate the process. The Consultant emphasized this point to the company authorities and solicited their support in the process of drafting company profiles/case studies, including reviewing and modifying/enhancing the initial draft. Accordingly, a senior person was designated by all the companies, as the ‘contact’ for supporting the case studies. A general outline/framework for collecting the information required to prepare the company profiles/case studies was prepared and circulated to the selected companies. In addition, each company was given a note (to the contact persons) suggesting additional coverage, to capture aspects specific to the individual companies. In the following pages, a brief summary of the case studies is given to obtain an overall view of the lessons to be learned from the cases and their background, and what they foretell about the ‘common future’ of forests in the Asia-Pacific region.
293
294
Sustainable Management of Tropical Forests – Private Sector Experiences Table 15. Companies identified for stage 2 study Sl. No.
Name of Company
Address
INDIA ITC Bhadrachalam Paperboards Ltd. 106, Sardar Patel Road, Secunderabad – 500 003, India. Madyha Pradesh State Minor Forest Khel Parishar, Indira Nikunj Nursery, 74- Bungalows, Produce (Trade and Development) Bhopal – 462 011, India Co-operative Federation Ltd.,
1. * 2. *
INDONESIA 3. 4.
PT. Suka Jaya Makmur PT. Inhutani II (Malinau)
5.* 6.
PT. Sari Bumi Kusuma P.T. Bina Lestari (Riau)
Jl. Adisucipto, KM – 53, Pontianak, Indonesia. Gedung Manggala Wanabakti, Block VII, Lantai 13, Jl. Gatot Subroto, Jakarta – 10270, Indonesia. Jl. Balikpapan Raya, No. 14, Jakarta, Indonesia. Gedung Manggala Wanabakti, Block IV, Lantai 3, Jl. Gatot Subroto, Jakarta 10270, Indonesia.
MALAYSIA 7. *
Address Samling Plywood (Baramas) Sdn Bhd
8.
Perak State Forestry Department (Matang Mangrove Forest)
Wisma Samling, Lot 296, Jalan Temenggong DTK Oyong Lawai JAU, P.O. Box 368, Miri, Sarawak, Malaysia. Jalan Panglima Bukit Gantang Wahab, 30000 Ipoh, Malaysia.
PAPUA NEW GUINEA 9.* 10. 11.
Vanimo Forest Products Ltd., Wawoi Guavi Timber Company Turama Extn. FMA 1&2
P.O. Box 41, Vanimo, Papua New Guinea P.O. Box 1617, Post Moresby, Papua New Guinea P.O. Box 184, Port Moresby Papua New Guinea
Pacific Timber Export Corporation,
RM 201, LG1 Building, Ortigas Avenue, Greenhills, San Juan, Metro Manila, Philippines
PHILIPPINES 12.
Note: The star marked cases have been selected to be show-cased at the International Conference
7.2
Summary of Case Studies
Preparing Clonal Eucalyptus Plantation for inter-croping (ITC India)
Inter-planted with turmeric (ITC, India)
7.2.1
The Indian Cases
a. The Outgrower Farms of Clonal Trees of ITC Bhadarachalam Paperboards Ltd. ITC Paperboard and Specialty Paper division operates an integrated pulp and paper mill located at Sarapaka in the Khammam district of Andhra Pradesh. This mill was established in 1979 and currently has an installed capacity of 65,000 MT of pulp and 182,500 MT of paperboards and paper per year. Present requirement of cellulose raw material of ITC-PSPD is about 400,000 tpa, which will grow to 800,000 tpa, with increase in its production capacity and product range, as envisaged. The mill currently meets its raw material requirement from various sources. An interesting feature of ITC Bhadrachalam Paperboards Ltd. is the sponsorship and support of the company to promote outgrower (small farmer) involvement to produce pulpwood from genetically improved and high yielding varieties of pulpwood species.
Sustainable Management of Tropical Forests – Private Sector Experiences When the company established the paper board mill in Sarapaka in the Andhra Pradesh State, it had the commitment of the Government of Andhra Pradesh to supply the required raw material (bamboo and hardwoods) from the government forests. With continuing deforestation and forest degradation, and consequent forest policy changes restricting wood removal from natural forest, the raw material source on which the company has relied was closed. Even though the mill was established on the basis of the commitment of the GoAP to supply major part of the raw material need from the government forests, the APFD could not keepup the commitment beyond 1986. After 1988, with a view to conserve natural forests and in keeping with the National Forest Policy, “clear felling” of forests was ended. In 1989, the Andhra Pradesh Forest Produce (Fixation of Selling Price) Act was passed. This provided for fixing selling price of raw material from government sources to wood industries, following certain prescribed procedure, namely that the selling price of bamboo and mixed wood shall be fixed based on the production cost, but not below the market value of the produce at the point of supply. With the effective enforcement of the above Act from October 1991, all existing arrangements for the supply of raw material stood abrogated. In the 1990s, pulp and paper industrial units in the State obtained 78 to 82% of the raw material requirement from nongovernment sources. From 1997-98 to 2001-02 there was no agreement at all between APFD and ITC-BPL. Currently, APFD has agreed for an ad hoc supply of 25,917 mt of bamboo between 29 November 2002 and 31 March 2004. The dire situation has been developing for some time. To save their investment, the company had to find alternative sustainable raw material sources. This critical need prompted the company to promote tree planting by farmers, using high yielding clonal seedlings, mainly of Eucalypts. These clonal plantations or tree farms can be managed on a 3-4 year cutting cycle. The clonal Eucalypts can stand 4 coppice cuttings, before being replanted. The company decided to promote tree plantations on farm lands after it realized that supplies from government forests are going to decline in the future, and it would be difficult to raise captive plantations due to land ceiling laws and restrictions on leasing of forest lands. For ITC-PSPD, the avenue open to ensure raw material supply was to outsource pulpwood production, under suitable arrangements. The company started distributing free Eucalyptus seedlings in 1982 and continued this effort until 1986. During this period, the company distributed 4.67 million seedlings to farmers. However, the company decided to discontinue this approach as the response of the farmers was not very good and they did not take adequate care of the seedlings supplied free of cost to them (Kulkarni, 2002). In 1987, the company started a bank loan scheme to promote farm forestry. This scheme, which was supported by NABARD, continued until 1995. During this period 7,441 ha of tree plantations were raised on the holdings of 6,185 farmers in 1,138 villages in the districts of Khammam, Guntur, Krishna, West Godavari, Nalgonda, Warangal, Nellore and Prakasam – with a comprehensive package of forestry of quality planting stock (of seed route), technical extension services and buy-back guarantee at minimum support price or the market price whichever is higher. However, this was far less than the targets set under the scheme; and the productivity of these plantations was still low (6 to 10 cum/ha/yr) and not acceptable to farmers as a landuse option. Also, the overall experience with the scheme was not very satisfactory for the company as it encountered a number of logistical problems (especially in getting the farmer’s loans sanctioned) and also failed to achieve its primary objective of getting raw material for its mill. Merely 28% of the farmers participating in the scheme got their loans sanctioned. Further, most farmers sold their produce elsewhere because (1) they harvested their plantations earlier than the rotation period stipulated in the scheme and (2) the company would have first repaid the bank loan and therefore paid only the balance after adjusting the loan to the farmer. The company even waived its due service charge of Rs.70 per MT, but still very little material came to it. Thus, ITC-BPL decided to discontinue the scheme after 1995 (Saigal et al, 2002). The need for research to improve the quality of pulpwood plantations and their productivity was realized by the company and it launched a tree improvement programme. At present, the company is concentrating on research to develop better clones and on commercial sale of clonal seedlings to the farmers. The research and development programme of the company started in 1989. Based on performance of individual clones in the field trials, promising, fast growing and disease-resistant clones of Eucalyptus tereticornis and E.camaldulensis were identified, including 23 site specific clones adopted to problematic saline and alkaline
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Sustainable Management of Tropical Forests – Private Sector Experiences soils. 37 of them are categorized as most important commercial clones based on their productivity and disease resistance capability. Clonal planting stock of the most promising “Bhadrachalam clones” were released to farmers from 1992 onwards. Field tested, proven, superior genotypes are multiplied for planting through vegetative propagation under controlled environment in green houses. The company is currently supplying 11 different Eucalyptus clones (called Bhadrachalam clones) on a commercial basis to farmers and offers a buy-back guarantee at an agreed price. Up to 1999-2000, the company had sold over 7.2 million clonal seedlings of Eucalyptus. The company is in the process of implementing a core area development programme, to intensively promote tree farms in areas falling with in a radius of 150 km surrounding the mill, offering additional incentives to farmers. This will help to reduce the cost of transportation of the bulky raw material. At the end of 2002, the number of farmers participating in the clonal plantation programme of ITCPSPD was 6,372; and the number is steadily increasing. Currently, about 30% of the pulpwood requirement of the company is being met from clonal tree farms. The company expects that its entire pulpwood requirement can be supplied by the clonal tree farms by 2007, assuming an area of 35,000 ha under clonal tree plantations in the core pulpwood supply area. The clonal trees are disease resistant and self-prunning, with large clear bole. Survival rate is as high as 95%. Experience has shown that the MAI of clonal plantations of Eucalyptus spp range between 20 and 58 cum per ha per year; and the farmers are able to earn a net profit of Rs. 50,000 to Rs. 150,000 per ha, depending on site quality and management inputs, in the first cutting after 3 years. Profits increase in the subsequent cuttings, since the cost involved in maintaining a coppice crop is lower. Further, since the tree farms are raised under as system of agroforestry, additional income will be earned from the harvest of the agricultural crop. The forest research unit of the company carries out trials on genetic improvement of the planting stock and slvicultural/agroforestry practices (e.g. spacing on planting rows, type of inter-crop) to be adopted. More and more, ITC-PSPD is relying on private tree farmers with whom it enters into a bipartite agreement (purchase contract). ITC-PSPD sells the requisite quantity of clonal seedlings and provide free technical extension service to the farmers; and farmers on their part sells the wood exclusively to the company at the prevailing market price. The company supplies clonal seedlings to be planted along with continuing extension services. Further, the company guarantees to buy the pulpwood produced by the farmers at a fixed floor price, which is revised periodically. Currently the tree farms within economic distance from the mill are able to supply only about 40% of the pulpwood required by the mill. It is the expectation that the company will eventually be able to source its entire pulpwood requirement from the clonal tree farms in the selected districts of Andhra Pradesh State. Some of the important aspects of the case which entitles it to be qualified as a success are: voluntary mobilization of investment for tree farm development; research, technology development and extention support by the wood processing company; increased productivity of clonal plantations; employment and increased income for local people; reduction of pressure on natural forest for raw material; and, mutually beneficial collaboration between the company and the farmers. ITC-PSPD attaches great importance for research and extension. It realizes the need for continuing research to enhance the various aspects of plantation management. The clonal tree farm programme is popular with the farmers because of the high yield and income it provides. The company is also working on genetic improvement of Casuarina and plans to produce and sell improved Casuarina clonal seedlings in the near future. On its part, the GoAP has relaxed the Andhra Pradesh Forest Produce Transit Rules 1970, inorder to facilitate procurement of wood raw material from non-forest sources. In June 1999, Eucalyptus spp, Leucaena leucocephala, Casuarina and some other species were exempted from the purview of the Transit Rules, as an encouragement to the tree growers.
Sustainable Management of Tropical Forests – Private Sector Experiences
New Tendu shoots (MP-MFP-CFL, India)
Drying Tendu leaves (MP-MFP-CFL, India)
b. M.P State MFP (Trade and Development) Co-operative Federation Ltd. Madhya Pradesh State Minor Forest Produce (Trade and Development) Co-operative Federation Ltd., an autonomous body, was established in 1984. It is the responsible and regulatory authority for resource management, harvesting, trading and development of NWFPs in Madhya Pradesh state, one the 35 States and Union Territories in India13. Its jurisdiction covers mostly the deciduous tropical forests of MP. The prime purpose of the MP-MFP-CFL is to save the MFP collectors from the clutches of middle men; to ensure fair wages and benefits to the collectors; to rationalize marketing of products; to empower the community in managing their own affairs through appropriate institutional arrangements; and to ensure that the resources are sustainably managed and protected. The establishment of MP-MFP-CFL was promted by the Constitutional Amendments 73 and 74 which provided for transfer of ownership of NWFPs to Gram Sabhas/ Panchayats in States having sizable tribal population, and the policy of the MP State Government to promote the development of the backward and tribal communities. Following a pyramidal, three tier structure, the MP-MFP-CFL, is comprised of 1,947 Primary Societies (with a total membership of 5 million MFP gatherers) in which all the NWFP collecting families are members, formed into 58 District MFP Co-operative Unions and a National Apex Body. The extent of forests falling under the purview of MP-MFP-CFL is about 8.6 million ha; and the Federation, at various levels in its structure, employs about 50,000 people. The rights and privileges of the members of the primary societies, their responsibilities in terms of managing the resources and delivering the products at the collection centers, payment of wages and sharing of benefits equitably, the functions and roles of the higher level bodies in the hierarchy have all been specified in the Memorandum of Association of the MP-MFP-CFL. Participation of the primary societies in the functioning of MP-MFP-CFL is ensured through adequate and appropriate representation in the higher level bodies. The primary MFP collector’s co-operative society forms part of the bottom tier. Any tendu14 (beedi) leaf plucker who is an adult and a normal and permanent resident of the area can become member of the PCCS by paying a membership fee of Rs.20. Such a co-operative society could spatially cover one village or more depending upon their population and nearness to the forests. For the management of PCCS, a 15-member “Management Committee”, which includes a nominated forest department official who is also designated as the nodal officer, is to be formed. The Management Committee in turn elects a President and a Vice-President. The District MFP Co-operative Union is the mid-tier in the 3-tier structure. DCUs have a 16 member committee, of which 10 are elected by the primary collectors and 6 are nominated members. In the nominated category, the Divisional Forest Officer is the ex-officio Managing Director of the DCU. The President of the District Cooperative Bank is another ex-officio member of the DCU committee. DCUs provide help and guidance to the PCCS in the collection and trade of NWFPs and ensure that all the prescribed tasks are being carried out properly. 13
14
In the year 2000, the eastern districts (Chattisgarh portion) of the State was separated into the State of Chattisgarh. However, for purposes of this study, the entire (erstwhile) State of MP is included in the spatial coverage, since separate statistical details for the two new states are not yet forthcoming. Tendu leaf is the widely distributed and most important NWFP in Madhya Pradesh. MP-MFP-CFL initially came into existence based on this produce.
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Sustainable Management of Tropical Forests – Private Sector Experiences The MP-MFP-CFL is the State level apex body of the cooperative structure. The Director Board of MPMFP-CFL has 18 members of whom 9 are elected. The State Government nominates three members (Principal Secretaries of Government Departments of Forest, Finance and Co-operatives). Six members are ex-officio members, one of whom is a Forest Officer servicing as Managing Director of the Federation. The MP-MFP-CFL has the primary role of formulating trade and development related policies, and to provide overall direction and guidance. In the MP State, tendu patta (leaves of Diospyros melanoxylon), sal seeds, harra (fruits of Terminalia chebula) and gums are nationalized produces, directly falling under the purview of MP-MFP-CFL, whereas the other NWFP’s being non-nationalized can be collected and traded freely. The first NWFP, which was brought under the State monopoly, as early as in 1964, was tendu leaves, solely because of the very high revenue potential for the State government. Also, the main product and source of income for the primary societies is tendu patta (beedi leaves), used as wrapper for making beedies, the indigenous cigerette. Tendu (Diospyros melanoxylon) trees abound in the dry deciduous forests of Madhya Pradesh and other neighbouring states. Beedi (Diospyros melanoxylon) leaves, constitute an NWFP of considerable economic importance. It is estimated that some 350,000 t of beedi leaves worth about US$ 200 million are collected annually from the forests of India. Madhya Pradesh is the largest beedi leaf producing State (41% of total production), followed by Orissa (17%), Maharashtra (15%) and Andhra Pradesh (13%). India exported some 4,700 t of beedi leaves in 1991-1992. The leaves are plucked from the tendu trees (in the allocated area) during the season, dried properly, made into bundles of 50 leaves and delivered at the collection centers by the members of the primary societies. They are paid for it immediately, based on standard rates established. The members of the primary societies are also responsible for the protection of tendu trees. The tendu trees naturally develop root suckers and can be made to grow profusely through artificial injuries to its root system. As observed by Troup (1921) “the profusion and tenacity of sucker reproduction of Diospyros melanoxylon, however, is in itself sufficient to ensure survival and increase of the species, without the aid of seedling reproduction which is itself, often, plentiful.” In MP, the most common system of crop improvement employed is coppicing, along with sanitary operations and protection. Since the species is generally fire resistant, surface fires do not damage the crop. A most common and damaging disease affecting tendu leaves is “pox disease”, caused by Psylla absoleta. It damages the leaves by forming galls. For leaf production, bushy plants of about 20 to 40 mm girth is cut flush to the ground during January to early March. With the onset of spring season, new shoots come up with leathery crimson coloured leaves, which ultimately turn into green colour by April end. These are collected in two flush peaks, once in May first week and again in second fortnight of May. Harvesting of leaves are done manually and effort is made to collect entire matured leaves in every tendu season. It is a month and half to two months long activity, during the hot summer months of April-May. Generally, collection starts in the last week of Aprill and ends before the pre-monsoon showers (first week of June), eventhough the peak harvest season lasts for less than a month. The actual period of harvest may vary from locality to locality. Plucking of leaves generally starts in the early morning at sunrise and continues for about 5-6 hours till sun gets too hot. The process of plucking tendu leaves essentially consists of four closely related steps: (i) walking to and from the tendu growing areas, (ii) plucking of leaves, (iii) sorting and tying the leaves in small bundles, popularly known as ‘pudas’, and (iv) delivery of the bundles at the collection centres, or ‘phads’ (Gupta and Guleria, 1982). Suitability of leaves for beedi wrapping depends upon the texture, venation and the relative thickness of the mid-rib and lateral veins of the leaves. To capture the desired qualities, the leaves are plucked after they have turned from crimson to bright green colour having leathery texture. Good quality leaves are obtained from coppice shoots and root suckers. Leaves can also be collected from small trees, but not from trees having girth of over 75 cms. Leaves from bigger trees are not suitable for beedi making, as they will be tough and brittle.
Product mix
10,160 Pulpwood
Size of forest area (ha)
Selection
287,240 Timber (Saw/Plylogs)
8. Perak State Forestry Department (Matang Mangroves Forest), Malaysia 9. Vanimo Forest Products Ltd, Papua New Guinea
10. Wawoi Guavi Timber 474,078 Timber Company, Papua New Guinea (Saw/Plylogs) 11. Turama Extn. FMA 1 & 2 1,283,500 Timber Papua New Guinea (Saw/Plylogs)
33,454 Timber (Saw/Plylogs)
Mechanical Concession agreement
40,151 Mangrove poles Clearfilling in uniform and charcoal (periodic block) system Selection
204,150 Timber (Saw/Plylogs)
7. Samling Plywood (Baramas) Sdn, Bhd, Malaysia
12. Pacific Timber Export Corporation, Philippines
Manual
33,140 Pulpwood/ chipwood
Selection
Selection
Selection
Mangrove selection
Concession agreement
Mechanical Concession agreement
Mechanical Concession agreement Mechanical Concession agreement
Short term licence
Mechanical Concession agreement
Manual
Mechanical Concession agreement
6. PT. Bina Lestari, Indonesia
Selective cutting with strip planting
209,995 Timber (Saw/Plylogs)
5. PT. Sari Bumi Kusuma, Indonesia
Mechanical Concession agreement
48,300 Timber (Saw/Plylogs)
4. PT. Inhutani, Indonesia
Selection
Collection right
Mechanical Concession agreement
Manual
Private ownership
Harvest Tenurial method arrangement
Coppice, Clonal Manual Plantations, Agro-forestry
Management system
2. Madhya Pradesh State MFP 8,600,000 NWFPs Coppice (T&D) Co-op. Federation Ltd, India 3. PT. Suka Jaya Makmur, 171,340 Timber Selection Indonesia (Saw /Plylogs)
1. ITC Bhadrachalam Paperboards Ltd., India
Company (case study)
Mostly exported
Export and national
Mostly exported
National
Local
Feeding chip mills Chip export
Processing in company Mill
Log sales
Processing in company mill
Auction sale
Supply to Paper Board mill
National business group
Multinational Company Multinational company
Multinational company
Domestic market
Processing in company mill
Sawnwood, Veneer, Logs Sold as logs
Export, Domestic
Export
Export
Partly processed, Export partly sold as logs
Government As poles & and local companies charcoal
1960
1988
1989
1991
1902
1993
1978
1975
1991
1979
1984
1986
1. Good Planning and Implementation 2. Adjustability to changing situations
1. Adherence to Rules and Regulations 2. Support social welfare schemes
1. Increased efforts at local processing 2. Support local HRD
1. Follow management regulations 2. Support social development
1. Longivity in SFM 2. Strict application of silvicultural operations.
1. Sound concepts and plans 2. Integrated operations
1. Silviculturally sound management 2. Victim of flaws in govt. policies.
1. Sustainable forestry development & increasing productivity. 2. Company policy of transparent relationship with local people
1. Reduced impact logging 2. Resilience to political changes
1. Careful planning and implementation 2. Stake holder consultation
1. Sustainable income to local communities 2. Large scale peoples participation
1. High level technology and R & D backup. 2. Innovative Institutional arrangements
Utilization of har- Market for Experience vested Two prime reasons to call the case a success Product (s) Existence produce from …..
Malaysian Part sold as logs, Mostly multinational company part processed exported
National business group
National business group
State-owned company
National business group
Local, co-operative
Local, savings, loans
Source of investment
Table 16. Characteristic features of the cases studied in the Asia-Pacific region
Sustainable Management of Tropical Forests – Private Sector Experiences 299
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Sustainable Management of Tropical Forests – Private Sector Experiences The collected beedi leaves are sold periodically in auction sales and the profit gets ploughed back for enhancing the welfare and development (infrastructure, health, education, technology etc) of the community forming the membership of the societies. In 1998, for example MP-MFP-CFL paid Rs. 1,818 million as collection wages of tendu leaf collectors and also distributed Rs. 1,270 million as net profit amongst various stakeholders engaged in collection and trade of tendu leaves. Beedi leaves are purchased by contractors and beedi manufacturers at an average rate of Rs.22.50 per kg (each standard bag of leaves on an average weighs 40 kg, and average sale price of each such bag has been taken as Rs. 900). The collector receives Rs.11.25 per kg as wages, Rs.3.12 as collection incentive or bonus, which total up-to Rs.14.37. The Federation and District Union also receive a token commission of Rs. 1 per SB. One kg of leaves are converted into 1,500 beedis valued at Rs.200 (US $ 4.50) paid by the ultimate consumers. Rs.54 are spent as wages for rolling of 1,500 beedis, Rs. 23 on transport, distribution, storage, packaging and labour charge and about Rs.20 for materials (tobacco, thread, paper), taxes, market promotion etc. The beedis are distributed to district level dealers by the industrial units, through the state/regional level agents. District level dealers distribute beedies to grocery shops and retail outlets. Finally, at the consumer level, a beedi costs Rs. 0.12 to 0.20 depending upon the quality and brand. Average price spread in the trade channel is: collector’s share 7.2%; manufacturing and marketing cost 46.5%; marketing margin of all actors in the chain (including MP-MFP-CFL) 46.3%. Apart from beedi leaves, some of the societies are also involved in producing other nationalised NWFPs such as sal (Shorea robusta) seeds, gums, harra (Terminalia chebula), and medicinal plants. In addition to the nationalized NWFPs a number of important and valuable non-nationalised produces like aonla (Emblica officinalis), chironji (Buchanania lanzan), mahua (Madhuca latifolia), chirota (Cassia tora), neem seed (Azadirachta indica), mahul (Bauhinia vahlii) patta, honey, tamarind (Tamrindus indica) etc. are also found in the forests of MP. These “other NWFPs”, however, account only for about 10% of the total production. The establishment of MP-MFP-CFL has helped greatly to enhance the welfare of the community involved, in terms of added employment and income, insurance coverage, social amenities and so on. The highlights of the case, for considering it a success story, are the following: i. ii. iii. iv. v. vi.
Organisation of primary producers of NWFPs within a strong federated co-operative structure. Rationalisation of NWFP marketing to ensure remunerative prices. Equitable distribution of benefits to the members of the primary co-operatives. Sustainable management of NWFP production. Extension and technology support within the co-operative system. Wide spread participation of rural families and community empowerment.
c. General Lessons The two cases chosen from India represent the emerging forestry scenario in the country – private small holder tree farms replacing the Government forests as the source for supplying the raw material needs of wood-based industries and sustaining their development; and growing importance of NWFPs to support community welfare and forest sustainability. After more than 100 years of government dominated forestry, of which the last 50 years have been chaotic with political overtones, Indian forestry is in the process of taking a new path of people’s forestry. An important lesson to be learned is that bureaucratic efforts without stakeholder consultation/involvement tend to become corrupt, destructive of people’s resources and environmentally degrading. While different private sector players are contributing significantly to the Indian forestry sector, their current contribution is far below the potential. There is a need to loosen bureaucratic control and to simplify procedures to allow the private sector to contribute more effectively. There is also a need to promote transparency, which will curb the corruption that plagues forestry like most other sectors in the country (Saigal et al 2002) Some of the important needs which emerge from the two cases regarding SFM with participation of people and the private sector; inter alia, are:
Sustainable Management of Tropical Forests – Private Sector Experiences • Need for clear and stable policies and regulations which support/facilitate development; ‘fairness’ in their implementation. • Need for adequate and appropriate incentives. • Need to ensure that SFM includes provisions directly aimed at reducing poverty. • Need for science-based forestry to improve productivity and to effectively counter forest loss. • Need for appropriate funding mechanism. • Need to encourage private research efforts in view of their practical nature and relevance. Indian Forest Policy, past and present, mentions that one third of the country’s land area should be under forest cover and that in should be managed as a resource to support national development. To ensure that, forests were “reserved” and brought under strict Government control. The actual course of events, however, has been a lesson in how policies can fail, not for technical but for institutional reasons and how people’s committed participation can make a difference. The Indian forestry experience can serve as a warning against complacency on the part of countries with less pressure on their forests; and as a pointer regarding what may happen if proper care is not bestowed. 7.2.2
The Indonesian cases
a. PT. Suka Jaya Makmur PT. Sua Jaya Makmur is a privately operated forest concession in West Kalimantan Province. Original concession over the area covered a period of 20 years from 1979/80 to 1999/2000. The concession was renewed for a further period of 55 years – i.e. till 2054/55. Logs harvested are used to produce veneer, laminated board, block board, moulding and lumber core at the company’s processing plant in Ketapang. Having an extent of 171,340 ha, the concession is managed under the system of TPTI, which involves selective cutting and enrichment planting of gaps/blanks. Yield is regulated on the basis of AAC and ACA. The effective area available for logging including 19,281 ha of dispersed forest patches and excluding buffer zones, river margins, steep slopes and PAs have been estimated as 147,875 ha. On that basis, for a 35 year selection cycle, ACA has been estimated as 4,225 ha. Assuming the harvestable volume per hectare to be about 25 cum, the AAC has been estimated to be about 110,000 cum. The annual blocks are further divided into compartments of approximately 100 ha for controlling logging operations. The forest in the concession area falls under the broad classification of tropical rain forest (with some marginal shifting cultivation). It can further be categorized as low land and mountain forest types. The dominant species in the forest are the Dipterocarps, accounting for 59.77% of the growing stock. The long and medium term planning documents (20 Year Perspective Plan and Five Year Forest Management Plan) provide the basis for preparing and implementing the annual operational plans. Preharvest preparations and harvesting operations (involving construction of roads, trails, bridges/culverts; logging control; scaling; transportation and so on) as well as post-harvest silviculture are carried out according to regulations. Sufficient care is bestowed to reduce logging damages and to protect the forest from damaging agents.
Permanent Measurement Plot (PT SJM, Indonesia)
Roadside Stabilisation by Terraced Planting (PT SJM, Indonesia)
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302
Sustainable Management of Tropical Forests – Private Sector Experiences The 20 year perspective plan and the five year management plan are to be submitted to the MOF, with the recommendation of the Head of the Kabupaten (Regency) Forestry Office, for approval. The one year plan is to be approved by the Head of the Kabupaten (Regency) Forestry Office. The 20 year plan provides the broad goals and the targets, which are to be achieved through specific 5 year management plans. Thus the 20 year plan serves as a general guideline and direction for development. The logging system being followed is fully mechanized: chainsaws are used for felling and bucking of trees; tractors are used for skidding; bulldozers, excavators, and graders are used for road building and preparing landing sites; trucks, tug boats and barges are used for hauling logs. Use of mechanical equipments improve productivity. Logging is possible to be carried out, on an average, over a period of 7 months in a year, depending on onset of rain. Transport of logs and silvicultural activities can continue over the entire year. Due to the remoteness of the concession area, haulage involved is over 300 kms. Currently, the road transport from the logging site to the concessions log pond alone is 160 to 170 km; and another 150 km by river (barges) from the log pond to the mill pond. For river drive, the floater logs are rafted and the sinkers are taken on pontoons. In normal conditions, logs take about one week from the stump to the company’s log pond; and another 4 days from the log pond to the mill pond. Adequate control is maintained on log transportation. There are 6 types of levies related to forest utilization according to Law No. 41 of 1999, falling under the authority of the Ministry of Forestry. These are paid on the basis of scaled volume of harvested logs. 1. 2. 3. 4. 5. 6.
Licensing fee of forest utilization business (IIUPH) Reforestation Fund (DR) Forest resource provision (PSDH) Performance bond (DJK) – (not yet implemented) Forest conservation investment fund (DIPH) – (not yet implemented) Investment Fund for Forestry Reseach and Development, Education and Training, and Counselling – (not yet implemented)
PT. SJM employs some 800 people for managing the logging and forestry related activities, and another 6,990 at the processing facility in Ketapang. While most of the professional and technical staff of the company are from other provinces, most skilled and unskilled workers (e.g. chainsaw operators, rafting workers, riverdrive crew, security staff, fire crew, camp maintenance staff) are recruited from local communities. Some of the truck and tractor operators are also locals. The company personnel (of all categories) are provided training (on the job as well as through specially organized short courses). All are supplied with ‘Pocket Books’ containing technical information and instructions. The local communities have user rights over Ulin (Eusideroxylon zwageri), Tengkawang (Shorea pinanga), Rattan etc. The communities in several cases have cut them for their own use, as well as to sell. Eventhough, not lawful in the strict sense, the company is often forced to help the community members to transport these products, as a matter of goodwill. This activity has not taken any serious proportion, yet. Local community living in and around the concession area also practice subsistence-oriented shifting cultivation. They also hunt, fish and gather fuelwood for their own consumption. These, however, are only on a scale which will not lead to environmental disturbances. The company routinely carries out social welfare activities for the benefit of the communities living in and around the concession, apart from providing them employment, to the extent possible. The cost of the social services being provided by the company is reported to be about Rps. 2.75 billion per year. The company invests in R & D activities and in environmental conservation. The company follows the principles, criteria and indicators of SFM. Recently the company has entered into an agreement with the Tropical Timber Foundation on a SFM-linked marketing arrangement. The company’s good performance is to be seen in the background of the constraints which it has been able to effectively address or avoid. The company has been able to prevent illegal logging within its concession area, with the co-operation of the local community. Considering that all along the drive from
Sustainable Management of Tropical Forests – Private Sector Experiences Ketapang to the company’s concession area what one sees is a continuous stretch of denuded land, burned plantations, and degraded forests and a stream of small trucks transporting illegal logs and rough sawn squares, the condition of the company forest is quite refreshing. Other constraints include: vague rules and regulations which keep changing and tend to be interpreted differently; increase in cost of logging and falling market price for products; unsettled nature of decentralization; micro-climatic changes caused due to deforestation happening around the area which may affect the forest’s growing condition. The aspects of concession management, which qualifies the company as a successful case in sustainable forest management, are the following: • • • • • • • • • •
High standard of planning and plan implementation. Strict adherence to rules and regulations relating to concession management. Yield regulated to be within AAC. Genuine interest in the welfare of the local communities. Implementation of environmental conservation measures. Effective forest protection. Continuous improvement of technology through field research. Investment in HRD Good relationship with local people and local government authorities. Acclaimed for good performance in successive evaluations.
b. PT. Inhutani II (Malinau) PT Inhutani II is a State-owned forestry enterprise with 100% government share, involved in management and utilization of forests. One of its area of operation is in Malinau (East Kalimantan) covering an area of 48,300 ha. It is now facing new legal and social problems resulting from the decentralization of governance and the local community claiming ‘adat’ rights over the natural resources. PT Inhutani II started its logging operations in Malinau in the year 1991, based on a 20 year concession agreement (due to expire in 2011). After excluding stream buffers and protected forests, areas of 40% and up in slope, rivers and river margins, biodiversity plots, seed stand plots, permanent sample plots, infrastructure, dispersed areas, and non-forested/unproductive areas, the effective area available is 41,450 ha (of which 34,300 ha are virgin forests and 7,150 ha are second growth forests). Yield is regulated by a combination of area and volume.
Agathis Plus Tree (PT Inhutani II, Malinau, Indonesia)
Tractor-Skidder Operation (PT Inhutani II, Malinau, Indonesia)
Based on a cutting cycle of 35 years, and considering an area 34,300 ha of virgin forest suitable for TPTI, the ACA works out to 980 ha. If the effective second growth area suitable for TPTI is also included, the ACA will increase to 1,184 ha. This increased area will be applicable when the current concession is renewed. Corresponding volume of AAC, depending on variation in growing stock density, as decided by
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Sustainable Management of Tropical Forests – Private Sector Experiences pre-harvest inventory, range between 17,500 cum and 43,900 cum per year. The annual cutting blocks are further divided into compartments of appropriately 100 ha for purposes of logging control and management. Important commercial species in the area, among others, include: Meranti (Shorea spp), Kapur (Dryobalanops spp), Nyatoh (Palaqium spp), Bangkirai (Shorea laevifolia), Keruing (Dipterocarpus spp), Agathis (Agathis damara), Benuang (Octomeles sumatrana), Jambu-jambuan (Eugenia spp), Jabon (Anthocephalus indicus), Simpur (Dillenia spp), and Rengas (Gluta renghas) The agreement conditions in respect of the Malinau concession of PT Inhutani II are similar to those of other agreements. • The harvesting/management system to be adopted is selective cutting of trees of diameter 60 cm and above for limited production forest and 50 cm and above for normal production forest (TPTI). • The concessionaire has to pay rates and charges (e.g. IHH, Licence Fee etc) as specified in regulations. • The concession is subject to the following environmental obligations: protection of flora, fauna and bio-diversity; protecting the forest from fire and other agents of degradation; avoiding/reducing logging damages and wastages; and managing the forest sustainably. • The concessionaire is required to meet social obligations such as: support to local government in local community development; supply of forest raw material to meet the needs of small and medium entrepreneurs; conversion of suitable unproductive bare lands into plantations and promotion of secondary and lesser known species. The company has made all efforts to develop the concession into a model operation. Accordingly, the company has been planning and conducting all its activities with great care, strictly following the relevant rules, regulations and agreement conditions. In collaboration with CIFOR/ ITTO the company has been implementing RIL. All aspects of logging operations – i.e. preparation of plans, division of blocks, road/trail construction, pre-harvest operations, establishment and control of set-ups, scaling, skidding, transport etc and post harvest activities were all being carried out as per prescriptions and specifications. The company also continue to discharge its social and environmental responsibilities. The company was getting prepared to upgrade its operations, from log production to sawnwood production, by establishing a local saw mill facility. It was at that time (July, 2002), unexpected misfortunes affected the company’s plans. First, the local government (Bupati) issued parallel concessions (over part of concession of PT Inhutani II) for logging and land utilisatin, ignoring the legal rights of PT Inhutani II. Second, a local village community claimed “adat” right over part of concession of PT. Inhutani II and compensation from the company for operations conducted over the (community’s) land. These developments, which have made it impossible for the company to continue logging and forest management, appear to be a part of the local government’s strategy to assert their right over land resources in its jurisdiction. This has also dampened the company’s efforts to get “Certification” for the concession. Similar situations seem to have developed elsewhere in the country. The new reform laws have in some cases generated a misguided sense of freedom on the part of local communities/people (often instigated or encouraged by selfish interests), to go against everything linked to ‘Central Government’; and there have not been adequate efforts to rationalize the system of hierarchy. The local communities are making atrocious compensation claims from the company for the timber removed; and local government is ignoring the current and legally valid concession agreement between PT. Inhutani II and the central government. The Kabupaten (Regency) Government has issued concession(s) over the same areas where a valid concession already exists, based on what is claimed as “Community Consent”. In Malinau, some of the communities have turned hostile to PT. Inhutani II; the logging equipment belonging to the company contractor have been seized by a community (village); and it has not been possible to carry out logging operations since July 2002. The situation is terribly fluid. Malinau is in a situation where both the central and regional governments have shunned away from the responsibility for ensuring SFM. Particularly, the regional government (of Kebupaten Malinau) have wilfully ignored all norms of managing tropical rain forests, in the interest of short-term political gains and revenue.
Sustainable Management of Tropical Forests – Private Sector Experiences The company “hopes” to be able to settle the claims and other problems and to resume the concession operations in the near future. Considerable uncertainity still remains. In the meanwhile, logging under locally issued concession (IPPK) is causing damage and degradation to the forest. The case is an illustration that inspite of the legal validity of the concession and inspite of the good intentions and actions on the part of the company involved to manage the forest sustainably, it (the company) can still be hurt seriously in the “Centre-Local power politics”, particularly in a situation of inadequate governance and disrespect for legal norms. Like in most other concessions, PT Inhutani II (Malinau) is faced with a number of constraints – physical, environmental, economic, social, legal and institutional. However, the constraints which cripple the concession are legal, institutional and social in nature. • Confusion, vagueness, contradictions, inappropriateness, overlaps and gaps of laws, rules and regulations. While Kabupaten/Regency is considered as the basic administrative power center under decentralization, the division of roles, powers and responsibilities of the various levels of governments, and the transitional measures to be adopted in the interim, are left vague and are being differently interpreted. In the muddied situation, several Regency governments have made their own laws, rules and regulations (even on matters outside their purview), particularly covering the use/extraction of natural resources as a source of local revenue. Many of them are skewed, confusing, contradictory and conflicting with the national laws/rules/ regulations. • The function, conditions of applicability, and processes for establishing validity of adat law, particularly with regard to the use of natural resources, have not been defined. • Coal mining damages. There is an operational coal mining concession within the concession area of PT Inhutani II (Malinau), of an extent of 1,030 ha. Coal mining is highly damaging of environment. The Mining Company is obliged to carry out land reclamation and rehabilitation. But there are lapses. • Since 2000, adat right claims and issue of IPPKs by Bupatis (which are normally only for one year, over an area of 100 ha and extendable by another year) have become common. Issuing of two IPPKs (both much larger than the 100 ha limit) by Bupati of Kabupaten Malinau, overlapping the regular HPH of PT Inhutani II (Malinau) have created problem of over-exploitation and environmental degradation. They have damaged logged over forest that have been rehabilitated. • Settlements and encroachments tend to affect the condition of the concession forest. Illegal and indiscriminate cultivation is being done along sides of roads and along river margins. Encroachments also take place along the concession boundary. These constraints smack of illegality and corrupt behaviour. In view of the constraints why should one include PT Inhutani II (Malinau) in the list of cases to be studied for success in SFM?. PT Inhutani II (Malinau) appears to be a study in contradiction, where the idealistic approaches/conditions – e.g. democratisation, decentralisation, and multi-stakeholder consultation have produced untoward results, primarily due to human failure and flaws. “Why does such flaws happen and persist”, becomes an issue of governance. Based on what the company intended to do and what it achieved in SFM before things took unexpected turns, it is qualified to be considered as a successful case; and what happened to the company recently gives us interesting insights and valuable lessons. The following are some of the positive factors in its favour: • adopted the ITTO guidelines in designing its SFM operations; • contributed considerably to improving the social welfare of the local community; • meticulously followed the environmental prescriptions and undertook measures for environmental enhancement; • given appropriate emphasis for technology development through R&D programmes, and is collaborating with CIFOR and UGM on important research programmes such as RIL and progeny trials for improved regeneration; • initiated the process for obtaining certification for its concession, and is committed to enhance forest management practices;
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Sustainable Management of Tropical Forests – Private Sector Experiences • maintains good relationship with local people and communities; • not involved in court cases for violating any of the forest laws; maintains good safety record; • has qualified, experienced and committed staff. c.
PT. Sari Bumi Kusuma
Strip planted Dipterocarp after 18 months (PT SBK, Indonesia)
Strip planted Dipterocarp after 13 years (PT SBK, Indonesia)
PT. Sari Bumi Kusuma (PT. SBK) is a privately operated logging concession belonging to the Alas Kusuma Group, located somewhat remotely (some 460 km away from Pontianak) in Central Kalimantan province of Indonesia, and essentially comprised of tropical rain forest. Logs produced are processed into sawn timber, mouldings and commercial plywood. PT. SBK started its operation under the original concession agreement in 1978. The original period expired in 1998 and the concession was renewed for a period of 70 years (1998-2068) under a new agreement. As per the new 70-year concession, PT. SBK has a mandate from MoF to manage the forest under the selective cutting and strip planting (TPTJ) system. This system, which was mandatory for renewed concessions when the new licence was issued, requires the company to practice enrichment plantings in strips. The 70 year period of the concession will involve a first cycle of felling and planting for 35 years; and PT. SBK is granted an additional 35 years to harvest those trees planted during the first cycle. The company operations are marked by good planning and quality of implementation, of all activities. Through careful logging, the company has been able to reduce wastes. The staff development programme of the company has paid good dividend through improved performance. PT. SBK carries out its social development programmes earnestly, which has won it the co-operation and allegiance of the local community; and helped to establish social harmony. The company’s commitment to support local community development makes it’s a unique operation. It is a stickler to the conditions set forth for SFM, and to all the rules and regulations and agreement conditions in that regard. The concession covers an area of 208,300 ha. Functionally, the concession area is divided into limited production forest (189,863 ha) and production forest (198,437 ha). Considering the condition of the crop and the need to leave protected forest belts along river and stream margins, road sides and so on, effective forest area available for logging is only 148,941 ha. 10,972 ha are available for replanting and 48,387 ha are non-available for production, being areas required for conservation purposes. During the initial concession period, the company followed TPTI system with a cutting diameter limit of 60 cm for limited production areas and 50 cm for normal production forest. The cutting cycle was 35 years and the ACA was 1/35 of the effective forest area. On an average, the planned and actual annual cut amounted to about 48 cum/ha from about 8 trees/ha. Since 1998, PT. SBK has been implementing TPTI in its virigin forests (103,262 ha with an effective area of 81,606 ha) and TPTJ in its logged-over areas (76,235 ha, with an effective area of 67,333 ha). In the virgin forest, PT. SBK calculates the working area based on the remaining harvestable area and plans to harvest all trees above 60 cm dbh with a yield of about 55 cum/ha. In the logged-over area, TPTJ as mandated by government is applied.
Sustainable Management of Tropical Forests – Private Sector Experiences TPTJ is a modification of TPTI, where nursery raised seedlings of valuable species (such as Shorea leprosula, other Shorea spp, Dipterocarpus spp) are planted in line, spaced 25 meter apart and at 5 meter spacing along the line. Width of the clear cut line is 3m, with interspace width of natural forests of 22 meter. The TPTJ prescriptions include clear cutting and enrichment planting in strips with a 35 year cycle and the harvesting of all trees of over 45 cm DBH from in-between strips. PT. SBK has been authorized to work in areas that have been logged-over, 20 years ago (instead of 35 years). ACA, however, will be the effective LOA divided by 35. The planned annual cut in the TPTJ area is 40 cum/ha, a conservative figure based on past harvests, rather than on the optimistic projections based on data from experimental plots15. TPTJ enables progressive improvement in the productivity of the forest involved. Research data indicates that the planted trees in the strips will attain a diameter of 66 cm by 35 years, when the strips can be clear felled; and the mature trees (of and above the prescribed size limit of 45 cm diameter) in the interspace between strips can also be harvested. It is expected that log yield per ha can potentially be raised to 300 cum (compared to the current yield of about 50 cum). In order to ensure sustainability, management of the concession is based on an elaborate system of management plans – 35 year long-term, Perspective Plan; Environmental Management Plan; 5 year Working Plan; and one year Operations Plan. Forest management planning is supported by a rural development diagnostic study. Cutting area and yield are prescribed based on growing stock inventory and assessment of crop condition in terms of distribution of diameter classes and species. As pre-harvest operation, all harvestable trees are marked and measured to estimate the yield. Nucleus trees which will serve as seed sources for future regeneration are also marked to ensure that such trees are not damaged during felling. All logging is carried out mechanically. Directional felling is insisted to reduce damages. Logging operations are controlled by dividing the logging area into compartments of approximately 100 ha in size. Logs are measured by qualified scalers. Logging in a compartment is to be completed before moving into the next. All prescriptions related to logging are followed and the company is introducing RIL by stages. The company also carries out all prescribed post-harvest operations to support healthy growth of the residual stock. All the harvested logs from PT. SBK are delivered at the mill yards/ponds of the AKG’s processing facilities in Pontianak. Socio economic contributions of PT. SBK is substantial. Its annual contribution towards forest related tax revenue as average for 5 years (1995-2000) was Rps 35.7 billion. In addition the company also pays non-sectoral taxes such as income tax. The company’s contribution to local employment and income generation is equally substantial. Some 64% of all company workers are locally recruited. Additionally, for enhancing the community welfare, the company has liberally invested in infrastructure development, local skill and education development, enhancement of agricultural practices etc. The company has a long tradition of supporting local communities to improve their livelihood and living conditions. The company honours its social obligations by investing in social development/welfare programmes – education, health, rural infrastructure, village and agricultural development schemes and so on. On an average the company spends Rps 2.97 billion per year on social welfare and development. Environmental conservation and R&D activities are a regular part of the company activities. As an important step towards obtaining timber (and forest management) certification, the company has signed an agreement with the Smartwood Programme of the Rain Forest Alliance, to conduct a preliminary scoping. While appreciating the intrinsic merits of certification, the company is of the view that some of the C&I are very difficult to be implemented in view of the present state of affairs in forestry – such as boundary conflicts, illegal activities, availability of illegal logs at low price, misinterpretations of law etc. Illegal logging activities are a serious hurdle for forest sustainability. Volume of illegal logs in the market are larger than legal logs. So “legal labeling” is more important than ecolabelling right now. Also there is need to further rationalize and simplify the principles and steps involved in cerifying FMUs. The company has been able to practice SFM inspite of several difficult hurdles and has received consistently good reviews and ratings for its good work. 15
PT. SBK has estimated potential yield per ha at 35 years for TPTJ areas to be 339 cum at an MAI of 9.7 cum/ha. An alternative figure of 145 cum/ha at 35 years is seen assumed by Smartwood’s Scoping Report on PT. SBK.
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Sustainable Management of Tropical Forests – Private Sector Experiences The criteria which qualify PT SBK as a success in SFM are the following: increased productivity through enhanced technology; healthy condition of the forest and the growing stock; a good functional system of forest management planning (including harvesting plans) and plan implementation; reduced logging wastage; friendly relationship with the local community; emphasis on community welfare programmes; commitment to R & D and environmental conservation; and strict obedience to rules and regulations relating to forest concession management. d. PT. Bina Lestari 1 (Riau) PT Bina Lestari 1 (Riau), a privately operated mangrove concession, is a member of the Bina Lestari Group, having its head quarters in Jakarta. At one stage, the Bina Lestari group had several concessions covering a large area16. The main objective and mission of the Bina Lestari group was to establish model forest concession management, with commitment to sustainability principles and highest professional standards. The concession of PT BL1 (Riau) is located in the Indragiri Hilir Regency of Riau province, managed for producing mangrove chipwood. This is also a case where, recently, an overlapping timber permit has been issued by the local (Kabupaten) government, and where the decentralization process has lead to the company closing down its operations. As a company started by forestry professionals, PT Bina Lestari 1 (Riau) has been managing the mangrove concession for a long time, in a silviculturally sound manner, following all the conditions stipulated in concession agreement. Management plans were made in time, and implemented properly. While following a system of selective.
Skidding of Mangrove logs (PT BL1 Riau, Indonesia)
Mangrove chip-wood ready for barge transport (PT BL1 Riau, Indonesia)
Cutting (size limit of 10 cm and above in diameter), natural regeneration was supplemented with artificial (enrichment) planting, wherever required. Mangroves being a fragile ecosystem, extreme care was taken for its protection. The company had established research plots within the concession with assistance/collaboration of JICA and LIPI – for studying mangrove ecology and enhancing mangrove management. PT. BL1 respected the needs/rights of the local community for fuelwood, by allowing them access to lops and tops of felled trees; and invested in social welfare programmes for the benefit of the local community. They were allowed to fish in the river and water bodies within the concession. The mangrove wood harvested from the concession area was being supplied to a wood chip factory in the vicinity, which in turn was exporting the chips to Korea and Japan. The concession area had been delineated, excluding river and river margins, coast margin, biodiversity plots, seed stand plots, PSPs, infrastructure, non effective area and unproductive area, for determining ACA and AAC. Productive and effective forest area was divided by 30 (30 year cutting cycle) to get AAC. The volume to be felled is determined by the forest potential (as determined by pre-harvesting inventory). Yearly block is divided into compartments of 100 ha. 16 Presently, only one concession, i.e. PT. Bina Lestari (Jambi) is operational.
Sustainable Management of Tropical Forests – Private Sector Experiences AAC of PT BL1 towards the end of its concession period was based on an annual block of 659 ha. Detailed felling/logging plan was based on working area arrangement and pre-harvesting inventory. Logging in the mangroves is very different from that in the rain forest. PT BL1 had been following a manual system, a modified ‘Kuda-Kuda’, normally used in swampy forests. Trees are cut manually by using saws, in order to be able to cut close to the ground and to reduce negative environmental impact. Trimming and cross cutting of the fallen trees are done with chain saws. Logs are piled up in skid trails manually. Skid trails are made by laying billets made from small trees, to avoid soil disturbance and reduce damage to regeneration. Piles of logs are pulled by two persons, using ropes, towards the riverside for onward transport. Logs are loaded on small pontoons, and transported to the chip mill. There are no roads inside the concession area. From stump to the riverside log landing it takes only 1 to 2 hours because of the criss-cross nature of watercourses. From log-landing on river side to the mill site, by pontoon drawn by boats, it takes 2 to 3 hours. Felling trees, carrying logs to skid trails and manual skidding to the riverside landing are all done by a team of 6 or 7 persons. A team can produce 120 cum of wood, delivered at the riverside landing, in a month. The post harvest condition of the residual crop and the need for silvicultural operations depend greatly on the care taken in conducting logging operations. A post harvest inventory is normally carried out to assess the residual crop condition. PT BL1 has been carrying out harvesting operations in the concession area properly to ensure sustainability. All logging activities were based on contract arrangements, and payment was based on out-turn. However, silvicultural activities such as forest inventory, rehabilitation and tree planting as well as social service activities were being directly undertaken by the Company. Post harvest silvicultural operations required, depending on the condition of the residual stock, have been prescribed in the silvicultural rules for mangrove forests, SK No 60/Kpts/DJ/1/1978 dated 8 May 1978 of Dirgen Kehutanan (Director General of Forests). During the period when PT BL1 was operating the HPH the company was undertaking environmental conservation measures, forest research activities and community development programmes. The total financial contribution of PT BL1 for social welfare and development used to be about Rps 23 million per year. The period of concession awarded to PT. BL1 expired in 1998. The company had requested for renewal of the concession sufficiently in advance in 1996. The area of concession for which renewal was requested was 33,140 ha after adjusting for land given away by the government for oil palm development and other land-use changes. The MoF had also granted two short term extensions of the concession, upto the end of March 2001; and , the company had already paid the licence fee for the entire renewal period of 20 years. In spite of these, the MoF delayed the issue of the final order of extension, allegedly for arranging an independent evaluation of the past performance of the concession, before making the final decision. In the meanwhile the local government (Bupati) awarded a concession over the area to another party (ignoring the pending request of PT. BL1), the details of which were not readily available. This was inspite of the MoF letter sent to the Governor or Riau and Bupati of Indragiri Hilir informing them that PT. BL1 (Riau) has paid licence fee for the entire renewal period of 20 years and that the concession is in the process of renewal. The company has become a victim of the bureaucratic whims and decentralization politics. PT. BL1 is representative of a large number of such cases spread all over Indonesia. In view of the above developments, PT. BL1 is in the process of closing down its Riau operations, for good. The company had made an investment in establishing a processing facility (for manufacturing mouldings, knock-down furniture, photo frames etc) in central Java, based on wood (of Spathodia companulata, Erythrina spp., Acacia mangium) sourced from private farms and homesteads. From the experience it had to go through, the Company does not seem to think much about the capacity of the government agencies in acting fairly and judiciously, in enforcing rules and regulations. Some of the senior members of the company is rather disheartened and disappointed at the recent developments in the forestry sector in Indonesia. They think that forestry profession (particularly those with the Government) in Indonesia, (and this is also the case in several developing countries), has lost sight of the need for good governance in the forestry sector, and that the profession is not acting responsibly to save forests and forestry. The case is interesting because the company managed the concession in a sound and sustainable manner, as long as it could. The company had the intention to continue with sustainable management of the
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Sustainable Management of Tropical Forests – Private Sector Experiences concession, as illustrated by its paying the licence fee, as required. If an evaluation had been done prior to 1998, the company would have satisfied most of the success criteria – sustainable condition of the forest, efficient management, profitable operation, value addition on primary product, social responsibility, environmental stability, R&D initiatives, HRD and so on. The company is not responsible for, nor contributed to the current dismal situation. The situation has resulted from the hurried and improper actions of the local government and the inaction of the central authorities. This case, thus, has some interesting lessons to offer. e. Common Issues and Lessons All the four cases discussed are facing several common constraints and issues, eventhough the magnitude/severity and consequently the impact, vary. The issues among others, are: illegal logging and its socio-economic and environmental implications; contradictory rules and regulation leading to conflicts; conflicts between central and regional institutions which causes hardships to business entities; short term agenda of local governments (Bupatis) working against the long-term needs of forest resource (and forest concession) management; unstable conditions created by decentralization politics. All the Indonesian cases are logging concessions. While all the cases had their operations based on noble intentions of sustainable forestry development, two were able to steer clear of the chaos of the reform/decentralization process, whereas the other two have become victims of such chaos. The case of PT Inhutani II (Malinau) and PT BL1 shows that inspite of all efforts and appropriate technical inputs, an enterprise cannot fully succeed without genuine political commitment to good governance, marked by transparency, accountability and efficiency. In this regard, the recommendations of the ITTO Technical Mission to Indonesia (ITTO, 2001) is still very valid, i.e.: • Effectively address illegal logging and other related illegal activities in forestry. • Rationalise and reform the structure and functioning of forest industries. • Develop high yielding and efficiently managed forest plantations as the major source of industrial raw material, and control of malpractices in the use of land and loans. • Adopt proper pricing of natural forest timber and improve the capture of economic rent. • Decentralise the forestry sector, within the broad provisions of the decentralisation laws, appropriate to the sectoral needs and special characteristics, and based on a well thought-out decentralisation plan. • Undertake appropriate actions to address the related and linked issues in forestry, namely, the need to: formulate and enforce a reformed National Forest Policy; install appropriate and properly structured institutions to enforce the policies; build skills and capability in forestry at local level; formulate and implement National Forest Programme with regional components; mobilize funds for sustainable forestry development; develop measures for promotion of NWFPs, rationalizing of shifting cultivation and forest fire management; establish forest resource accounting system and rectify the existing accounting distortions; and institute co-ordination and monitoring mechanisms. Sustainable forest management can be a prime casualty in certain political landscapes, characterized by the ill effects (eg. illegal activities, corruption) of governance failure. The problems in the forestry sector of Indonesia were too deep rooted to be solved through decentralization. Reports suggest that decentralization has resulted in considerable increase in the magnitude and complexity of the problems. The general feeling is that PT SJM and PT SBK do not represent the majority of Indonesian forestry concessions; they only represent the minority (of well managed forest concessions). While, at present, PT Inhutani II (Malinau) and PT Bina Lestari 1 (Riau) may represent a different kind of minority situation, a view is seen expressed that they are indicative of a grim future trend which would lead to liquidation of forest resources in the country, unless drastic remedial measures are urgently taken. Indonesia can profitably take some lesions from the experiences of Thailand, Philippines and India. 7.2.3
The Malaysian Cases
a. Samling Plywood (Baramas) Sdn Bhd Samling Plywood (Baramas) Sdn Bhd is a privately operated concession located in the upper Baram region
Sustainable Management of Tropical Forests – Private Sector Experiences of Sarawak; concession area comprises tropical rain forest, having shifting cultivation over about 17% of the area. SPB is part of Lingui Developments Berhad (Lingui), the public listed company of Samling group. The concession area of SPB in Selaan-Selongo FMU is 204,150 ha covered under two timber licences. The present licence period is 20 years, beginning 01 September 1993. SPB owns a plywood mill situated in Kuala Baram. It manufactures plywood of tropical hardwood species like Meranti, Kapur and Keruing. Part of the logs harvested from the concession are exported, unprocessed. Excluding the area under shifting cultivation (34,710 ha), effective forest area of the concession (FMU) is 169,440 ha. This area, dominated by Mixed Hill Dipterocarp forest has been functionally broken down into 91,494 ha of production forest (54%), 48,451 ha (29%) of protection forest and 29,495 ha (17%) of community use forest. Yield regulation is based on area control, combined with an annual log quota system. The net (adjusted) ACA is 8,430 ha. AAC is set at 100,000 cum. The FMU is home to 3 ethinic groups – Kenyah, Kelabit and Penan. Shifting cultivation is the most important traditional economic activity for most of the local communities, with hill rice as the main crop. Members of the local community are employed by the company in logging activities. The timber licence(s) specify the conditions to be followed in managing and utilizing the forest, including yield control, logging practices, pre and post harvest operations, social and environmental obligations of the company and so on. SPB is promoting multiple use management as the basis of SFM for greater efficiency and productivity, integrating the production, protection and community use functions of the forest. The FMU has been divided into 45 coupes. The coupes are sub-divided into functional sub-units or compartments. There are 1,632 compartments (average size approximately 100 ha) of which 954 compartments are allotted for production management. Depending on actual stocking condition, it is expected that two harvesting units/compartments will be adequate to achieve the AAC target. The system of management planning adopted in Selaan-Selongo FUM consists of a 10 year forest management plan and annual operational plans. As per prescription, the production areas of the FMU are managed under a selection system. Timber harvesting activities are permitted only in those blocks/compartments (standard size about 100 ha) which have been approved by the RFO Miri, through Permit to Enter Coupe (PEC), based on the meeting the pre-conditions prescribed such as 10% tree enumeration; topographical survey and mapping; coupe and block boundary demarcation, road alignment etc. The Forest Management Implementation System of Sarawak (FOMISS) has specified the steps and processes involved in the sustainable management of the concession (FMU). Harvesting is carried out on a rotational basis, on a 25 year cycle; minimum cutting size prescribed is 60 cm dbh for Dipterocarps and 45 cm dbh for non-Dipterocarps. Only merchantable trees are allowed to be harvested and protected species are safeguarded. The company’s SFM programme is built on three essential foundations: economic viability, environmental compatibility and social acceptance. Continuous, participatory stakeholder consultation facilitates and supports the planning, implementation and monitoring processes of forest management. A task force of major stakeholders (SPB, FDS and local community) has been established to address conflicts, if any, in the implementation of management activities in the FMU. Logging operations follow the system of selective cutting with directional felling and mechanical skidding. All operations follow RIL implementation guidelines (relating to tree felling; ground skidding; density of trails, feeder roads etc). A RIL compliance assessment is routinely carried out, after completion of harvesting operations. Potentially harvestable trees within a buffer of 40 m (on ground distance) left and right of the skid trails are selected/marked and identified by a serial number. All the trees marked for felling, potential (future) crop trees, and fruit trees shall be recorded on the stock sheet corresponding with each of the trail section. No tree position maps are required; but their location left or right of the trail shall be noted. Estimated average unit cost of logging per cum is RM 207.95 per cum. The post harvest activities essentially address two aspects: (i) assess the crop condition after logging; (ii) take-up crop rehabilitation/enhancement/protection measures suitable to the actual condition of the crop.
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Sustainable Management of Tropical Forests – Private Sector Experiences Apart from post harvest inventory and normal forest protection measures, the treatment to be given to the harvested natural forest is decided by using the Silvicultural Decision Support System (SDSS). Treatment essentially involves the identification and liberation of potential crop trees. The company’s strategy of silvicultural operations for the logged-over forests has the following objectives: to secure an adequate stocking of commercial species; improve the growth rate and to ensure optimum harvesting levels in the future. The post-harvest silvicultural operations in the FMUs are designed to bring back the forest to its pre-harvest condition. The various wood-processing facilities of Samling group are fed by logs from several FMUs. The wood harvested from Selaan-Selongo FMU is partly exported as logs and the rest utilized for processing into sawnwood, plywood, MDF, paraquet and other wood products. The plywood factory of SPB near Miri has a production capacity of 126,000 cum per year requiring a log input of 240,000 cum. The contribution of Selaan-Selongo FMU to the raw material supply of the plywood mill of SPB is only about 58,000 cum/year, accounting for about about 24% of the total. The company contributes considerably to the welfare of the local communities. An important socioeconomic contribution on SPB is the employment and income earning opportunities provided to the local community, directly and indirectly. The company is involved in the community development in forestry, as part of the government-company-local community partnership. SPB collaborates closely with the FDS in forestry research activities and in maintaining PSPs to monitor response of residual stands to prescribed treatments and changes in soil and other ecological factors following harvesting. It also undertakes measures of environmental conservation. With its initiatives to establish SFM, the company aims to obtain certification of the FMU by 2005. Conflicts with local communities over land claims is an important constraint. Other constraints faced by the company are related to: difficult terrain features and remoteness of the concession area, low forest productivity, shifting cultivation, native customary rights, conflicts between ethnic groups, inadequate logistics and expertise to implement social projects of the government, and confusion about SFM concept and standards. The considerations for qualifying SPB as a success are the following: • Commitment to the cause of sustainable forestry and sustainable community development • SFM-related capacity building, RIL compliance, environmental conservation, and stakeholder involvement • Phased approach towards timber certification b. Perak State Forestry Department Operations in Matang Mangrove Forest Perak State Forestry Department’s operations in Matang mangrove forest, covering a total area of 40,151ha, of which productive area is comprised of 32,746 ha, is an integrated activity to sustainably produce wood and non-wood forest products. Its main product is charcoal. Matang mangroves came under forest “reservation” in 1902. During the early years, it was the main source of fuelwood for the Malayan Railways and to the tin mining industry. Production of charcoal from mangrove wood in Matang started in 1930. Bruguiera spp and Rhizophora spp are dominant in Matang mangroves. As the demand from the tin mining industry dwindled due to competition from inland supply, some local entrepreneurs took to making charcoal by constructing kilns, in 1930. The kilns were of the Beehive or Siamese type, which has not changed much to the present day. The need to manage the mangrove forest was realised immediately after the area came under reservation. Soon after all the ‘island reserves’ were reserved in 1903, A.E.Wells prepared the first working plan, which was more of a scheme to control and regulate felling. In 1908, after the ‘mainland reserves’ were reserved in 1906, a plan for the ‘mainland reserves’ was prepared, thus placing the whole mangrove reserve under management. The management of Matang mangroves from then onward underwent continual change, where a particular harvesting system was adopted, amended and discarded, at a certain stage reintroduced and again discarded (Noakes 1952). Those were trying times and it was during this period that many systems were tried to find the one that would only require minimal planting or no planting at all to regenerate the felled areas.
Sustainable Management of Tropical Forests – Private Sector Experiences The first system applied in Matang mangroves was the “minimum girth system” and then replaced by the “standard system”, which was later abandoned, and the “minimum girth system” reintroduced. After 1930, the “shelterwood system” was proposed wherein the prescription provided for carrying out a regeneration felling, five years before final felling (Noakes 1952). Provision was also made for the retention of standards. It was also during this phase that the ‘stick’ thinning was fully worked out. Planting was also well established and successfully practiced. In the working plan revision undertaken in 1940, the retention of standards was again abandoned and the ‘two-staged final felling’ was introduced on an experimental scale, only to be interrupted by the Second World War.
15 year old Rhizophora ready for thinning (Matang, Malaysia)
Virgin Jungle Reserve (Matang, Malaysia)
Since 1950, the Matang mangroves are being managed under prescriptions of a comprehensive working plan, which is revised regularly every 10 years. The primary objective of management is the sustainable production of quality greenwood of Rhizophoraceae, for charcoal manufacturing and poles, on a sustained yield basis. There are 6 major forest types in Matang mangroves. The forest types can be categorised in a successional manner starting with the most recent one, the Avicennia-Sonneratia type. This type occurs mainly in the accreting mangrove zone. Immediately behind this zone, is the Brugueira cylindrica type, followed by the Rhizophora type. Within the two types are also found the Bruguiera parviflora type, occurring gregariously in smaller patches, but is more common in mixture with the Rhizophora type. Finally there is the Bruguiera gymnorhiza forest, which is the climax mangrove forest type in Matang, occurring at the landward margin where it slowly changes to the dryland mangrove type. In areas where the influence of freshwater is higher, Nypa forest dominated by Nypa fruticans are common. The most valuable forest type in Matang mangroves is the Rhizophora forest, which occupies three-quarters of the whole Matang Mangrove Forest Reserves. Much of the Rhizophora forest consists of pure stands of Rhizophora apiculata, which is highly commercial, used for charcoal making and as poles for piling. The silvicultural system of management of Matang mangroves is clearfelling in periodic blocks followed by natural regeneration, supplemented by artificial planting as necessary. Rotation has been fixed as 30 years. For ease of control and effective management, the productive area of Matang mangroves has been divided into three periodic blocks, each consisting of about 11,000 ha. Age of the crop is the main criteria for such a division. Theoretically, the 1990 – 1999 period is in the second period of the second rotation. Therefore, Period I will have forests in the age class of 1 – 10 years; Period II the age class of 21 – 30 years and Period III the age class of 11 – 20 years. Effectively the Matang mangroves will have forests of age 1 to 30 years (which also coincides with the year of felling). This age gradation feature can be observed by the varying height classes. Estimation of yield in Matang mangroves has been carried out on a 10 year periodic basis, and conducted only for the periodic block which will come up for final felling in the 10 year period of the working
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Sustainable Management of Tropical Forests – Private Sector Experiences plan. The estimated average yield per hectare of mature crop is about 175 tonnes. Yield regulation, however, is on an area basis. All clearfelled areas are systematically rehabilitated. Rehabilitation involves planting and occasional weeding. There are two thinnings, at the age of 15 years and 20 years, before the new crop undergoes final felling at the age 30 years. Matang mangroves has very strict policy on regulating its (charcoal and pole) industry. The number of charcoal kilns permissible are decided every 10 years, coinciding with 10 yearly revision of the working plan, to be proportionate to the amount of forest resource available for that period. Allocation of areas (for charcoal burning) are, accordingly, made for a period of 10 years. Allocated areas are released for harvesting to the contractors on a year-by-year basis. During the period 1990-1999, the productive area of 7,980 ha (annual average of 798 ha) was allocated to 75 charcoal contractors who operated 336 kilns (approximately 2.3 ha to feed a kiln). Similarly, there were 70 pole contractors approved for the period 1990-1999, for an annual thinning area of 2,136 ha, half of which corresponds to first thinning (15 years) and other half to second thinning (20 years). Additionally, NWFPs such as fronds of Nypa fruticans and Acrostichum aureum are also harvested, on a limited scale. The potential of collecting raw distillate from the charcoal kilns, for refining into pyroligneous acid is currently being tried, by few kiln owners. Matang mangroves also support a large fishery industry, including capture fisheries and aquaculture. Within Matang mangroves there are 34 village settlements. In addition, there are several traditional fishing villages along the upstream banks of mangrove tidal rivers. These communities are engaged in various mangrove-related economic activities. Eco-tourism is also emerging as an economic activity in the Matang mangroves. Sustainable utilization of Matang mangroves has been a profitable operation. Recent averages indicate that: the revenue collected from timber extraction alone based on premium over the land and royalty over the timber removed has been RM 1,561,086 per annum. As against this, the expenditure on administration, forest development, forest operations, conservation and protection activities over the whole of Matang mangroves amounts to RM 926,550 per annum. Accordingly, the average net revenue realized has been RM 634,536 per annum. The direct tangible economic value of annual harvest of produces has been estimated to be RM 155,474,507 as follows: Mangrove wood production : Fishery and Aquaculture : Total
RM 25,350,122 RM 130,124,385 RM 155,474,507
No estimate is available about the intangible values (externalities) in the form of environmental conservation, coastal area protection and so on. The diversity of fauna and flora was never directly threatened by the intensive management of the mangrove resources for the sustainable production of fuelwood and poles in the Matang mangroves. Other than the permanent stand of non-productive forest which were hardly exploited, the productive forest is being managed with due consideration for the conservation of the environment. In managing the mangroves on a 30 year rotation, in any one year approximately 1,100 ha or 3.3 % of the total productive forest or only 2.7 % of the total area of Matang are only clear felled. Clear felling of the annual coupes are not carried out in one single cut, but progressively over a period of 12 months, at approximately 100 ha a month. Subsequently, the clear felled areas are ensured total regeneration either through natural or artificial means or a combination of both. As an additional precautionary measure, the annual coupes are further divided into smaller sub-coupes, which are spread out over the whole Matang mangroves. In so doing, disturbance to any particular habitat is localised and the wildlife has ample opportunities to be safe in the adjoining forested areas. Matang mangroves still support a viable population of a variety of fauna.
Sustainable Management of Tropical Forests – Private Sector Experiences It is difficult to identify constraints in respect to the silviculture and management of the Matang mangroves especially when it has already achieved so much over the years. In the past, a constraint which affected the capability of the Forestry Department from fully stocking the clear felled areas was the damages to the plants caused by crabs, monkeys and deep flooding. These problems were overcome through the introduction of potted seedling technique, developed in Matang mangroves, in 1986. The major constraints are obviously in the area of product development and utilization which are the basic responsibility of licensed forestry contractors. Other constraints include the lack of research and skilled/ trained personnel to develop non-timber forest products and benefits. With about 100 years of sustained yield forest management, Matang mangroves easily qualifies as a successful case of SFM. Considering the fragile nature of the ecosystem (which has disappeared in several parts of the world due to encroachments for prawn culture and illegal logging), the mangrove management in Matang is worthy of emulation. The contributing factors in this regard include: strong policy and legal framework; high quality of planning, implementation, supervision and monitoring; strong and continuing political commitment; regular ten yearly revision of working plan; clear objectives of management; long-term security of concession tenure; support of local educational and research organizations; and adequate staffing. c. Lessons The two Malaysian cases are very different in their background and details. They, however, support the general observation that the important ingredients for ensuring successful and sustainable management of forest resources by the private as well as the public sector are rational policies and their effective implementation supported by good planning, adequate financing and proper governance. The case of Matang mangroves, in fact, precede the UNCED initiated dialogue on SFM by nine decades; and it particularly underlines the oft repeated lesson: sustainability is achieved not by ex situ discussions and adding of elegance to the concept, but by actual in situ action. 7.2.4
The Cases of PNG
a. Vanimo Forest Products Ltd Vanimo Forest Products Ltd. in the Sandaun Province is a private operation undertaken on contract with the Government, within the TRP System. The forest covered in the contract i.e. Vanimo TRP Blocks 1 to 6 with an area of 287,240 ha, is customarily owned by the tribal communities; and is comprised of tropical rain forest. The timber licence of VFP covers a period of 20 years, 1990-2010. After making deductions for villages, stream buffers, bench mark areas, national parks and inaccessible areas, the net productive area in the 6 blocks works out to 207,080 ha. Further adjusting for the area which had been logged in the past, the remaining commercially productive area available for harvesting has been estimated as 190,160 ha. The company has been strictly following all the regulations and agreement conditions relating to timber operations and trade; paying all the levies and premiums due (e.g. reforestation levy, infrastructure maintenance levy, agriculture development levy, provincial government levy, premium on log export); and meeting all the company obligations such as infrastructure development, establishment of processing unit(s), post harvest management of LOA etc. The company follows a sophisticated system of forest management and harvest planning. Yield is regulated by a combination of area, and volume specified in AAC. Eventhough extension of concession activities in FMA area is not envisaged, the concessionaire is allowed to fell only the mature trees of commercial species and is required to leave a healthy residual stock for the future. Except for major roads, which will add to the rural infrastructure and benefit the communities, all temporary developments such as skid trails and log landings are decommissioned, such that the forest will soon be returned to its natural state. PNG-FA has provided guidelines and regulations regarding standards and procedures to be adopted in timber management. The package of planning for forest management has the following components such as: long term Perspective Plan (project proposal); 5 year Forest Working Plan; Environmental Plan; Infrastructure Plan; Finance Plan; Skill Development Plan; Landuse Plan; Business Development Plan; Implementation Schedule; Annual Logging Plan and Set-up Plan.
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Sustainable Management of Tropical Forests – Private Sector Experiences Environmental plan is a requirement under the Environmental Protection Law. The law stipulates that logging is not to be done in areas of over 30% slope; buffers of natural vegetation should be maintained in 100m width around villages, 50m width on river margins, 10m width on stream and creek margins. VFP carries out the following pre-logging formalities: 10% pre-harvest assessment of stock; preparation of annual logging plans; demarcation of annual coupes and set-ups; preparation of set-up plans; 100% tree marking and tree positioning on maps; cutting climbers on marked trees; setting up environmental safeguards; establish roads, skid trails, log landlings and camps following prescribed environmental standards; and training of crew.
Skid trail after logging completion (VTA, PNG)
Forest one year after logging (VTA, PNG)
AAC is derived by dividing the estimated total potential harvest based on the existing inventory by the duration of the TP. Area of the annual coupe is determined by the stand density or volume of crop trees, taken from the results of timber inventory. Prescribed log harvest of VTA as per the TP is 300,000 cum during the first five years and 250,000 cum thereafter (6-20 years). Starting with a log export of 255,000 cum annually, it is to be stabilised at 165,000 cum from the 6th year of operation. Species composition is not constant over the whole timber area, although Intsia bijuga, Pometia spp and Terminalia spp invariably represent the most volume among trees of over 50 cm DBH. The logging system being followed is selective cutting, with directional felling of trees having a minimum diameter of 50 cm DBH, strictly following the Key Standards for Selection Logging in PNG. All logging operations are carried out by the company crew. Logs are scaled at the stump site by licenced scalers. Average road transportation distance from VTA to the mill yard/log pond in Vanimo is over 100 km. River drive is not feasible in VTA. Average logging cost, during the period of January to June 2002 was K 148.21. Post logging operations undertaken are of two types: (i) those required for reporting completion of logging activities in a set-up to obtain clearance of PNG-FA and authorization to start work in the next setup, and (ii) silvicultural operations to support SFM. The second type of operations currently are not a requirement. Logs produced by VFP are partly used as input into its sawmill in Vanimo, and partly for export as raw logs. During 2001, the company saw mill processed 60,369 cum of logs against 134,149 cum of logs exported. Logging and log/timber export activities are monitored by SGS. The customary ownership of VTA is shared by 12,037 individuals distributed in 1976 households, located in 55 village and clustered into 26 clan groups. The land owners are encouraged to participate and involve more actively in the preparation of annual logging/working plans. Poverty and malnutrition is a major problem among the villagers of VTA, considering the wealth of natural resources at their disposal (24 ha per person or about 145 ha per family). It is difficult to comprehend how they can be so poor in the midst of the valuable resource. The flaws in the policies and the community attitude towards cash economy and related work ethics are indicated to be serious obstacles.
Sustainable Management of Tropical Forests – Private Sector Experiences VFP activities generate considerable benefits in terms of government revenue and income/welfare to the land-owning local community. It is the prime revenue source of the Sandaun provincial government. The annual average of charges and levies remitted by VFP during 1999-2000 amounted to K 13.1 million. The company regularly employs 946 persons, with the peak season employment going over 1000. The number of nationals in the regular pay roll is 889. The company makes all efforts to employ as many local community members as possible (eventhough they, often, lack the discipline required for work under strenuous conditions), in the logging and milling operations. Additionally, the company invests in developing social infrastructure such as schools, hostels, playgrounds, health centers, water supply, communication system and so on, as well as in land and agricultural development. The company also accommodates, to the extent possible, the demands (and compensation claims) of the community, outside of the agreed conditions, in the interest of maintaining social harmony and friendly relationships. An important constraint in operating forest concessions in PNG is the customary ownership of the land and related restrictions/complications in implementing FMAs and TPs. The TPs stipulate only logging plans; and not silvicultural management plans for inducing natural regeneration, protecting the crop from fire and other injurious agents, carrying out sanitary and salvage felling operations, scientifically assessing growth and yield, etc. etc apart from harvesting mature trees. The company management is of the view that it will be possible to obtain an assured harvest of 25-30 cum/ha in the next cut through appropriate silvicultural treatment of residual stock. But such a long term initiative on the part of the TP holder is not feasible in view of the land tenure and ownership problems. VFP has voluntarily established 300 ha of natural regeneration area, 5 PSPs and several mother trees for promoting natural regeneration. These were later discontinued as they are not required as per the current regulations. The inadequate knowledge on the part of NGOs about the nature of logging under selection system, and the special conditions existing in PNG, has led to the VFP being attacked for violations of TP conditions. This is a perpetual irritant to the company. No social survey(s) has been carried out to assess the real impact of timber development on the local community and their sustainable livelihood. It is also the general observation that the government is not playing their role properly for supporting the development of the customary land owners and the village community in a transparent and accountable manner. The following, inter alia, qualifies VFP to be considered a successful case: • Conduct of logging fully within approved intensity, so that the residual forest is left in a healthy and sustainable condition. • Strict adherence to the conditions of FMA and related rules and regulations. • Capacity to address the constraints in implementing a sophisticated harvesting operation, in a customarily–owned forest, in a remote location. • Flexibility to accommodate the extra-legal demands of the community. • Provides support for social capital formation and HRD, benefiting the local community. • Serves as a major source of Government revenue and generates local employment and income. • Respects local culture and sensitivities. b. Wawoi Guavi Consolidated TRP Blocks 1 to 3 Wawoi Guavi Timber Company (belonging to the RH group) in the remoteness of the Western Province is an operation which has integrated log harvest with production of sawn wood and veneer for export, requiring considerable investment on infrastructure. WGT’s logging operations and wood processing locations (Panakawa and Kamusie) are some 200 km away from the coast (ship loading point) along the Bamu, Wawoi and Guavi Rivers.
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Log yard & Sawmill, Kamusie (WGT, PNG)
Newly logged area, near Kasegi (WGT, PNG)
The Timber Permit for development of forest resources in the three blocks in Wawoi Guavi was approved in 1992, initially for a period of 10 years, extendable upto 20 years. In April 2002, when the initial term of 10 years expired, the permit holder requested for another 10 year extension; and the extension was granted upto April 2012. WGT now is a sizeable operation, with a fixed capital investment in excess of K 180 million. Apart from WGT, the RH group has other timber interests in PNG. For example, in Manus RH group is managing timber concessions on behalf of LOCs, under contractual arrangements. In the Western Province RH group operates another TP, the Vailala Blocks 1 to 3. There are two other affiliated companies, viz Tropicair Ltd and Straits Marine (PNG) Pty Ltd, which support the timber operations of WGT. The total area of the three TRP blocks covered in the TP is 474,078 ha. Of this, an area of 334,699 ha falls under the category of rain forest, and 139, 379 ha are swamps and wetlands. Considering the effective area available for logging, the maximum AAC of the three TRPs together has been fixed as 350,000 cum/year during the first 13 years (1991-2003) and subsequently to be reduced to 300,000 cum/year until completion of the first 20 year cutting cycle. Volume of AAC provided in the TP is a prime deciding factor. Area to be covered is what it takes to get that volume. Stock and quality of timber in the area is comparatively low, with a harvestable volume of 14 to 16 cum/ha of mixed species, to be obtained from 3 to 8 mature trees. There are 17 villages comprising 67 clans within WGC-TRP 1-3 and its adjacent areas, which accounted for a population of 2,126 persons in 1990 (giving a per-capita undivided share of 223 ha of forest land). Traditional boundaries between the villages and clans are ill-defined, leading to frequent disputes. Also new claims are advanced by outsiders, on the pretext that their ancestors had enjoyed rights in the area. There are some 5,000 people claiming customary ownership over the area. As a means of livelihood people collect sago, gather wild fruits and tubers, fish and hunt; they lead a nomadic existence. Shifting cultivation is rarely done. As in the case of other TP operations, WGT follows a four level planning: long term environmental plan, five year forest working plan, one year logging plan and specific set-up plan. The development proposal of the company serves as a perspective plan. The 2002-03, logging plan of WGT covered an area of 28,247 ha for harvesting 347,883 cum of logs, of which 280,000 cum will be processed (220,000 cum into Veneer and 60,000 cum as sawn wood) and 67,883 cum exported as logs. 100% of veneer production and 85% of sawnwood production are also exported The estimated average gross volume of all trees of 20 cm DBH and above in the area is about 75 cum/ha; and the volume of harvestable trees of 50 cm DBH and above is about 13 cum/ha. The pre-logging inventory in the set-ups earmarked for 2002-2003 showed that gross density of merchantable species of 50 cm DBH and above varied between 15.63 cum/ha and 21.86 cum/ha, the range in the net density being 10.95 cum/ha to 15.31 cum/ha. The forests are managed and harvested as prescribed, covering pre-harvest, harvest and post-harvest operations, leaving the residual forest in a healthy and least disturbed condition. Because of the very low density of population, remote location, and lack of any local demand for wood and wood products, the Wawoi Guavi FMA area is secure from anthropogenic influences and illegal activities. There is hardly any evidence of environmental degradation. The main means of communication, and contact with the outside world, for the communities in the region is the air service being operated by an affiliate of the company.
Sustainable Management of Tropical Forests – Private Sector Experiences WGT follows selective cutting with directional felling; and operations are carried out as stipulated in the PNG Logging Code of Practice. The ITTO guidelines and RIL are followed, if and only to the extent it is incorporated into the logging code. Felling, bucking, skidding and hauling are all fully mechanized. Chainsaws, tractors, loaders, trucks, tug boats and road building equipment involving huge investment are in use. Logging wastages in the Wawoi Guavi FMA area are similar to the others; but no correct account of it is available. Logging operations are over seen by PNG-FA staff. The system of log accounting and surveillance traces the movements of logs from stump sites to the mills or to the log loading point in respect of log export. Post harvest requirement for work completion in a set-up include decommissioning of all temporary roads and ripping of log landings to promote regeneration. After logging is completed in a set-up, the camp manager submits a logged-over confirmation to be verified by the government forestry staff (that the work has been carried out as per the prescriptions in the logging code), and for obtaining approval for commencing logging in the next set-up. No post-logging silvicultural operations are prescribed or carried out. The timber operations of the company have helped to initiate a process of development in a remote region of the country through infrastructure and human resource development. Apart from the employment and direct income receivable, the land-owning communities are also benefited by social welfare/development programmes being implemented by the company. The total value of the socio-economic contributions of the company to the Government of PNG and to the local people adds upto about 23.09 million Kina per year. Of this amount, 17.1% directly goes to the benefit of land-owner groups. The company maintains an efficient organizational structure. Special training programmes are arranged for mill operators and forest surveyors. National workers are provided on-the-job training. About 25% of the landowners are employed by the company. While women are not engaged in logging operations (except for camp maintenance and as cooks), they account for about 50% of the employment in the processing mills. Apart from fair wages, the workers are entitled for paid leave and accident compensation. They receive free housing, food, health services etc. They are covered by group insurance. Absenteeism is rare in the area, probably because of the isolated location. Apart from the share of direct monetary benefits, local communities are substantially benefited by the development and upgrading of the infrastructure and the village development projects implemented by the company. The company has built churches, community halls, health aid posts, class rooms, teachers houses and accommodation for aid post personnel, play ground etc. Apart from the air strips in Panakawa and Kamusie, the company is upgrading the strip in Kaseki. The village development projects being assisted by the company includes fish and crocodile farming, oil palm development, rubber development etc. No analysis has been carried out about the socio-economic impact of timber operations in the area. Whether, and if so how much, the monetary income and other company-provided benefits have helped to improve the livelihood of the local people, is not clear. Lack of efforts on the part of the Government to meet the policy-defined obligations is considered as an important constraint in the development of forest-dwelling land-owning communities. The company has established stream buffers and set apart protection and conservation areas as prescribed in regulations. This is meant to minimize the negative impacts of logging on forests, land and water. Operations in WGC TRP 1-3 have adhered to the legal prescriptions and regulations, within permissible/reasonable limit of deviations. At the beginning of the operation, the company claims to have established TSI blocks and PSPs, but since discontinued as it was not a requirement as per regulations. No salvage logging operations are done as there is no demand for salvaged materials. The company has also not taken any initiative for timber certification, as the importing markets in East Asia do not require it. Within the next few years, however, the company will have to find alternate sources, in the place of WGC-TRP 1-3 area. There are extensive unlogged and accessible areas available in Western and Gulf Provinces and the company expects that it can extend the operation to new areas. Customary land tenure system, inter-tribal conflicts, cultural taboos, infrastructural deficiencies etc still act as powerful factors hindering socio-economic development of the local land-owning communities. The company has, however, been able to handle the situation without causing much disruption
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Sustainable Management of Tropical Forests – Private Sector Experiences The aspects which qualifies the Wawoi Guavi timber operation to be considered as a successful case of SFM are the following: • Environmentally sound and non-destructive logging practices • Integrated logging and processing operation established in a remote location • Support to socio-economic development in the Wawoi Guavi Region, through creation of infrastructure • Support for social welfare of, and amicable relationship with, the local people • Enhancement of local technological capability and human resource development • A revenue source for provincial and national governments c. Turama Extension FMA 1 & 2 TEF 1 & 2 located in the Kikori District of the Gulf Province, owned by Taruma Forest Industries Ltd, is involved in log production for export in an area which has negligible pressure of population. The TFI obtained TP for Taruma Extension FMAs 1 to 3 having a total area of 1,721,800 ha and a net production area of 594,300 ha, in June 1995 for a period of 35 years with an AAC estimated at 340,000 cum. Only areas of FMAs 1&2 are currently operational, with one coupe each in the two FMA areas, extracting between 40 to 60% of the total AAC. The forests in the TEF 1&2 fall under hill rain forests, mixed lowland rainforests, swamps/wetlands and mangroves, with mixed lowland rainforests predominating. The TP specifies that the company should fell and remove in a proper and workmanlike manner, all trees of above 50 cm DBH in the area with a marketable value. No felling is, however, allowed on slopes of more than 30º nor in specified buffers of rivers, creeks and settlements. The TP contains stipulations under which the company is to operate its social and legal obligations, and the standards to be observed in logging and management of the forest resource. It further specifies the payments to be made by TFI and the benefits to be provided to the owners. The company has executed a performance bond in the amount of K 125,000 required in the TP, as a guarantee for good performance. The Gulf Province where TEF FMA 1-2 is located, is one of the very thinly populated parts of the country. People practice shifting cultivation of very low intensity. People in the area are generally interested in sedentary agriculture, and there are no new settlements following the logging roads. Population within the area of TEF 1&2 is around 10,000 in 1,784 families forming 446 incorporated land groups or clans. (Each of the land owing members of the population, thus, will have an undivided share of about 150 ha). There are 14 business groups that comprise the landowner companies. The situation, and operations, in TEF 1 & 2 are similar to those in WGC-TRP I-3 both being located close to each other. TEF 1&2, however, is not an integrated operation, and it exports all the logs produced. The strip inventory data is used to estimate standing gross volume of timber for diameter classes of 50 cm DBH and above, reflecting the cutting limit as prescribed in the TP. The estimated volume based on several random samples, has varied greatly from location to location, ranging between 5.5 cu.m to 14.2 cu.m per ha, and the number of mature trees varied between 1.3 to 3.8 trees. The amount of damages/wastages in logging, in the form of high stumps, lops and tops, breakages in felling, and damages to other standing trees have not been properly estimated. Rough estimates vary. Some estimates indicate that in the PNG situation only about 50% of the standing volume gets utilized. The company staff claims that the best guess of wastages/damages in Turama operations is about 30%. For the damages/losses in terms of commercial volume of logs, the company is expected to pay the relevant charges and levies. Such damages/losses are generally caused during skidding, storage and transit, and amounts to a low percentage, not exceeding 5%. On completion of harvesting in a setup, all the temporary roads and trails are decommissioned; and log landings are ripped to encourage natural regeneration. There are no provisions in the regulations for conducting: silvicultural operations like sanitary operations, TSI and enrichment planting; post harvest inventory of residual stock; and regeneration survey. On reaching the river dumps, the logs are checked for damages enroute and are re-scaled and graded if considered necessary. Sinkers and floaters are separated at river dumps for facilitating river transport. The
Sustainable Management of Tropical Forests – Private Sector Experiences marine contractor does the river drive to the ship loading point for export, some 200 km away from the river dump. Market for the logs from TFI is essentially East Asia. The whole process of transport and shipment of logs for export is closely monitored by Societe Generale de Surveillance on behalf of the government. The company carries out its logging operations more or less in strict compliance to the current rules, regulations, and standards. There is very little awareness at the field level about international initiatives such as ITTO Guidelines for SFM, eco-labelling and forest certification. Tendency of landowners (villagers) to extort money from the company as compensation for fabricated grievances (such as violating sacred areas, use of bridge sites, vehicle breakdowns, land slides, accidents etc) is a perpetual irritant, and causes work disruptions. Corruption of many shades at many levels is another irritant and disincentive. Since there is no pressure on land for agricultural development or subsistence farming, nor any relogging (repeated logging) takes place over the harvested areas, forest tends naturally to recover fast, and there are no perceptible environmental scars in the concession area. Since the forest areas are left in its wild condition, without any interference, after being selectively logged, they revert back to the original condition within a short period of time. Sustainable management of forest in a sparsely populated and remotely located area is normally a matter of following the harvesting code in timber operations. The company has also followed through the other (social, economic, environmental and institutional) aspects of SFM, including building of local capability as required in TP, in a fully satisfactory manner. Hence, as in the two previous cases the operations in TEF 1&2 can be considered as a successful case of SFM. d. Issues and Lessons All the three cases dealt with above are initiatives of multinational companies and involve foreign direct investment. All the three companies fully follow the rules, regulations and conditionalities relating to the implementation of FMAs and satisfy the normal SFM criteria. In spite of it, an important observation has been made by several reviewers that there is inadequate improvement in the socio-economic condition of the customary land-owning community. Several arguments are put forth, for the situation, by analysts: the situation is the result of inter-tribal conflicts and rivalries; traditional culture and system of sharing falter under the pressure of cash economy, and cargo-cult results; the tribal communities lack the basic discipline required for market-oriented production and related technological sophistication; greed and corruption among community leaders is a negative factor; tribal/communal solidarity is a myth; customary ownership of land is not conducive for intensive land development and so on. Available analysis/studies suggest that there are gaps between policies and public interest, as well as between policies and practice. Two basic deficiencies pointed out are: (i) lack of adequate education and human resource capability of the land-owning communities and (ii) lack of clear definition and delineation of rights/ownerships over the natural resources, including lack of landuse planning, land survey and land settlement. A clear lesson here is that unless basic issues are adequately addressed with a long term perception, it will not be possible to guide and direct the development process through a sustainable path. Neither the donors, nor the logging companies, nor any other foreign stakeholders have the capacity to close the gap between village politics and the public interest. The best hope lies in those institutions of civil society with participatory structures, technical expertise and young leadership and in the establishment of the common ground upon which to develop a wider coalition of interests – to build a new “policy community”. While risk can be managed and controlled, uncertainty creates confusion and causes breakdown of the system. In the existing land tenure situation in PNG, and considering the continuous changes in government policies and regulations, the primary concern of the entrepreneurs will be to safeguard their investment. They will find it difficult to make increased investment, if they cannot maintain peaceful and unencumbered occupancy of the land to conduct their legitimate business (Power, 2002). The TPs are exploitative operations as permit holders are not allowed any continuing interest on forest land. There are also policy gaps relating to domestic processing, commercial forest plantations, small scale local enterprises and so on. The conditions specified in the TPs and the logging plans are meant to guide the production and sale of logs (and collection of related levies and charges), and not to support long term development of forest resource and their rational and efficient utilization. The rotation (wherever it is specified), felling cycle, period
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Sustainable Management of Tropical Forests – Private Sector Experiences of TRP/FMA and validity of TPs are hardly based on any rationale and are specified to suit the situations, leading to confusion about their relevance in regulating the resource management. SFM has several dimensions – environmental, social (including inter generational), economic, and institutional. Eventhough, the three cases studied do not indicate environmental non-sustainability (particularly as they are not subjected to population pressure and post-logging disturbances), situation seems to be different in some other Provinces. The other dimensions appears to be suffering general neglect. However, the TP holders cannot be blamed for the situation as their role is limited as specified in the legal agreements, and they are carrying it out to the satisfaction of other parties to the agreement. On a specific aspect, i.e. surveillance of log movement, the government of PNG has entrusted the responsibility for scaling/marking and inspection of logs to an independent third party (SGS- Societe Generale de Surveillance, a Swiss company) on contract. This has greatly helped to avoid allegation of illegal practices (including avoidance of taxes/charges) by private companies. The normal conditions which promote illegal logging such as inadequate supply to meet demand, presence of organized timber mafia, existence of market for illegal products, high level of unemployment and weak governance (and corruption) may not now be active in PNG, compared to some other countries in the region. Considering the experience of other countries, and its own past experience, PNG will do well to be extremely vigilant against this menace. Such vigilance would call for a new policy pathway involving community empowerment and the need to rationalize the land issue (Power 2002). It is the traditional clan commons which tend to be badly neglected and/or misused. We may see a shrinking of the clan commons and improved management of lands under corporate control only if and when the clan group members begin to exploit economic opportunities, either as lessees under clan-land usage agreements or other arrangements. 7.2.5
The Philippine Case
a. Pacific Timber Export Corporation Located in Dinapigue, Isabella and Dilasag, Aurora, PATECO’s is one of the remaining 16 TLAs in Philippines (as of March 2003), and one of the four operational TLAs having Approved Annual Operations Plan. The original concession of the company, with an area of 37, 860 ha, started around 1960 with an expiry date of June 30, 1982. It was renewed on 01 July 1982 for a term of 25 years – i.e. upto 31 December 2006 having an area of 34,450 ha and with an AAC of 46,445 cum. After several deletions, additions, transfers and reversions of area (including granting of an Industrial Tree Plantation Lease Agreement and its subsequent conversion into IFMA), the total area of PATECO concession was reduced to 33,454 ha. The TLA specifies the conditions for managing the area, covering legal and administrative requirements, and prescriptions on silviculture, utilization, infrastructure development, protection and other aspects. To be able to maintain a high and sustainable forest yield, the company has given high priority to scientific logging and management practices such as: selective cutting method, timber stand improvement in the residual forest, assisted natural regeneration, maintenance of seedling nurseries, and development of plantation sites. Forest development activities and environmental enhancement measures are strictly implemented. Timber extraction is being done using a combination of truck and tractor skidding. All efforts are made to maximize the utilization of wood materials including wood residues, both in the cutting area and in the processing plants. PATECO has developed and enhanced its manufacturing plant operations to further integrate down-stream wood processing. With the enforcement of embargo on logging in old growth forests, TLA operations had to be confined to residual (secondary) production forests. To facilitate management planning of such secondary forests, they are classified and divided into management blocks based on YEAL of those areas, to determine the operable residual forest (YEAL of 20 years and above). Blocks of lower YEAL will come up for logging later. The actual volume logged during the period 1992 to 1996 has been close to the prescribed cut. However, in subsequent years it has not been possible to harvest the authorized volume due to various administrative, security and strategic reasons.
Sustainable Management of Tropical Forests – Private Sector Experiences In addition to its TLA, the company also maintains forest plantations under an IFMA of 996 ha, issued in 1995. Also, as part of its social commitment, the company has entered into an Agreement (Memoranda of Understanding) with private landowners in the vicinity of the concession area, whereby the company reforests portions of their idle lands. The company is also engaged in forestry research. The concession area is comprised of tropical rain forests and can be divided into 2 parts (i) the protection forest (e.g. old growth areas, mossy forest, river embankments, buffer zones, rocky and wilderness areas etc) and (ii) production forests (natural residual forests and plantation forests). The production forests are further sub-divided into management blocks for sustainable timber harvesting and silvicultural activities based on forest management plans. The forest included in the TLA of PATECO consists of 20,453 ha of protection forests and 13,001 ha of production forests. Adding the production area under IFMA (996 ha) the total production are at the disposal of PATECO is 13,997 ha. The area of TLA is managed by PATECO under the conventional selection system, whereas the new IFMA areas are managed under a system of TSI and enrichment planting as well as raising of plantations under a system of clearfelling and artificial regeneration. The boundaries of the protection and production forests have been delineated on the ground for control purposes Currently, the management of TLA of PATECO is based on (i) 10 year forest management plan 19972006 and (ii) 5 year integrated operations plan, May 2001-April 2006. The 10 year FMP is a written guide for conducting timber harvesting operations and scheduling of silvicultural treatments. The plan was prepared based on timber inventory at 5% sampling. The cutting budget in 1997-2006 as contained in the approved 10 year FMP of the TLA area is 18,228 cum per year, and it is 3,110 cum per year for the area under IFMA. In May 2002, AAC was refixed as 16,284 cum from an ACA of 310 ha. In the harvesting blocks of the residual forest, under the 10 year FMP, the company shall continue to implement and practice selective logging system; only trees marked to be cut, consisting of 50% of the 60 cm DBH class and 100% of 70cm DBH and up class, will be harvested in the second growth forest. TSI will be carried out. Within the overall provisions of the 10 year FMP, the IOP specifies the actual extent of area to be logged, corresponding volume to be harvested and the period of logging operations. The approved IOP includes a provision for within year deviation by 10%, provided the total at the end of the 5 year of logging is not altered. Annual logging plan, incorporating the set-up plans, specifies the annual logging areas/compartments and set-ups, defined by grid blocks. Further, it provides for pre-logging inventory, tree marking, location of logging camps and log landings, building and maintenance of logging roads, conservation measures and so on. Logging operations are confined to second growth with slopes below 50%, and at elevations less than 1,000m above MSL. Logging follows selective cutting with directional felling and employs the Bataan trucks in combination with tractor skidding. Logs and sawntimber are ferried out from Dilasag, Aurora by the Company’s landing craft transport vessel to Gumaca, Quezon, where the company’s trans-shipment depot is located. For the period of March 1999 to February 2001, the estimated production cost per cum of log was P 3,878. Wood produced is processed into sawntimber, plywood and builders wood works. The company used to export part of its log production, upto 1987. Since then all the logs produced are processed entirely in its own sawmill and plywood mill. Presently production is focused to cater to domestic demand. As an important component of selective logging, TSI activities are undertaken by the company in order to develop a good residual stand. Enrichment planting is done in areas with poor timber stand and supplemental planting along road sides and abandoned log landings. The company maintains a strong patrol system, as well as forest protection check points at strategic locations to curb illegal activities. Also preventive measures against forest fires also are continuously undertaken by the company. The company also invests on environmental conservation and watershed management in its concession area. It collaborates with agencies involved in forestry research. The company’s contributions in the form of forest charges, fees and taxes during the period 1992-1998 ranged from P4.6 million to P9.2 million (annual average being P6.85 million). Its contribution in year 2000 was P11.2 million, of which the share of LGUs was P4.5 million.
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Sustainable Management of Tropical Forests – Private Sector Experiences The socio-economic contributions of the company are significant through the direct and indirect employment and income earning opportunities provided by the company. The company has been continuously setting aside funds, materials and supplies for assistance to communities adjacent to PATECOs concession area and adjoining Barangays. On an average the company has been spending over P3 million annually for community services. The community-based forestry projects initiated by the company in 1994 is now under its maintenance phase. So far, the 125 farmers/landowners around the company’s concession area with a total planted land of 347.25 ha have been actively participating in the programme. The company’s contribution to community welfare covers: forest extension, food production, community education, employment and livelihood projects, health, watersupply, infrastructure, tree planting programme and environmental enhancement programme. NWFPs particularly rattan in the concession area benefits the tribal families who depend on rattan gathering as a major source of income. PATECO keeps cordial relationship with DENR and other government agencies, and has been able to conduct the TLA operations in an adequate manner, eventhough the changing policies and IRR with every change in administration has been disturbing. The concession operation is also constrained by illegal activities and threat of insurgents. PATECO’s TLA will expire in 2006. Continued operation beyond that date is uncertain. In preparation for the event, the company has envisioned a plan for phasing out the TLA operation and/or transition towards the conversion of the TLA into an IFMA, for which the company has a pending application, aside from its ongoing IFMA. The case of PATECO is an interesting study in the possibilities, potentials and the hurdles to be crossed in private company operations towards achieving SFM, in a policy and institutional environment which is unstable and fluid. The important criteria in considering PATECO a success is that it has been able to achieve its objectives and mission, inspite of innumerable constraints relating to: land allocation and tenure issues; pressure on forest land for occupation and agricultural expansion; prevalence of illegal logging and smuggling; raw material crunch; market instability; institutional impediments and so on. b. Lessons The PATECO experience provides a clear lesson that policies, laws, rules and regulations cannot be left to be voluntarily complied; they have to be “enforced”. It is virtually impossible for a small minority of forest concessionaires who practise sound and sustainable management to save the forest, while the large majority wantonly follow unsustainable practices. 7.2.6 Essential Requirements for SFM Of the 12 cases discussed 9 cases are large forest/logging concessions, managed by private companies, on the basis of conditions specified in legal agreements which include adherence to all relevant rules and regulations of the Government. One is a mangrove forest managed for sustainable production of charcoal and poles by several small scale private operators, under direct supervision and control of the Government. Yet another is development of clonal tree plantations for pulpwood in private farmland sponsored by a pulp/paper company. And, the last case is a federation of a large number of primary co-operative societies of rural/tribal families involved in collection, processing and marketing of NWFPs in government forests. Each of these cases can be considered as FMUs (or a collection of sub-units of management). As such, their role in promoting SFM at the national level is limited, and depends on the extent to which their positive/successful aspects are emulated. The pattern of landuse and landuse changes, land ownership, utilization of resources , level of sustainability, socio-economic and environmental impact and so on, of these cases vary, influenced by several factors. In spite of the variations, several general lessons can be derived from these cases, on the essential requirements for SFM. • Stability of policy and implementing rules and regulations • Co-operation of stakeholders, supported by meaningful participation and equitable distribution of benefits
Sustainable Management of Tropical Forests – Private Sector Experiences • • • •
Good governance characterized by transparency, accountability and rule of the law. Rational and non-distortionary incentives Prevention and strict handling of illegal activities Improvement in the socio-economic condition and empowerment of the local community
While these are often lacking at the national level in several countries, the cases examined give us cause for optimism. 7.2.7 Show Cased Studies Of the 12 cases studied in the Asia Pacific region, six cases (ITC Bhadrachalam Paperboards Ltd; Madhya Pradesh State Minor Forest Produce (Trade and Development) Co-operative Federation Ltd.; PT. Sari Bumi Kusuma; Samling Plywood (Baramas) Sdn Bhd; Vanimo Forest Products Ltd; and Pacific Timber Export Corporation will be show cased at the International Conference to be held in Kuala Lumpur, Malaysia, 13-15 April, 2004. 8.0
SYNTHESIS OF MAJOR ISSUES
Planting Dipterocarp seedling under TPTJ (PT SBK, Indonesia
Forest Stalwart (PT SJM, Indonesia
8.1 Introduction Issues are root causes of problems, about which there will often be differences in perception. Analyses of situations help to identify issues. Indications about issues are seen in inconsistencies, contradictions, eluding objectives, blaming games and searching for scapegoats, lack of focus, and prominence given to processes and peripheral aspects. The issues brought together in this section are based on a review of: the forestry situation in the AsiaPacific region; the situation in the ten ITTO producer member countries in the region, individually and as a group; and the cases studied. In a number of countries in the region, (natural) ‘forest management’ in its conventional sense seem to have burned out, after a short “glowing” period of useful existence. In those countries, wood and non-wood products are now sourced mostly from non-forest private lands such as farms, home gardens, and tree crop estates (e.g. rubber and coconut). The 12 cases of “private sector success stories” discussed in an earlier section were selected from five of the ITTO-PMCs in the region, and they cover a wide range of situations and activities – forest concessions owned by national companies; forest concessions owned by multinational companies; forest production carried out by PFA in government-owned reserve forests through short term contracts; clonal tree planting by farmer groups sponsored and supported by a paper and paperboard manufacturing company; and co-operative federation of primary co-operative societies engaged in collection and sale of NWFPs. Their scope covers: log production for export; log production for local processing; mangrove wood production for wood chip production; management of mangroves for producing poles and charcoal; development of high yielding clonal tree farms in private lands; and production, processing and marketing
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Sustainable Management of Tropical Forests – Private Sector Experiences of NWFPs. Most of them (9 cases) are faring well at present and others (3 cases) are in the process of phasing out or moving into alternative forest-based activities. The experiences of these cases may, to some extent, help to find reasonable solutions to the issues discussed below, under seven groups: governancerelated issues; technical/scientific issues; trade-related issues; institutional issues; environmental issues; socio-economic issues; and the overarching issues. 8.2 Governance Related Issues Good governance is more a matter of judicious and timely implementation of policies. Non-observance or inadequate observance of policy specifications, strategic measures and implementing rules and regulations leads to several intractable issues. 8.2.1 Lack of Governance An important global issue is related to continuing deforestation and forest degradation without much improvement in the situation, even some 12 years after the UNCED. While the world is loosing some 25 ha of forest every minute (WCFSD, 1999), one cannot disagree about the urgency to control deforestation. The issue here is lack of “real” commitment, reflected in lack of adequate governance. 8.2.2 Illegal Activities Illegal activities of different nature (e.g. timber theft and smuggling to cutting outside AAC and species/size classes and eco-piracy) take place inspite of the existence of laws, rules and control mechanisms. In many cases legal logging is closely followed by settlers/encroachers and illegal loggers facilitated by bribery/corruption and political patronage. Concessionaires and private operators are often blamed for such developments. Is it a fair allegation or is the issue one of governance failure ? 8.2.3 Role of Stakeholders FRA 2000 (FAO 20001) shows that in the Asia-Pacific region, the countries which had suffered forest devastation in the past for various reasons (e.g. India, China, Vietnam) have shown positive forest cover change during 1990s. Should the countries currently well endowed with forest resource run through the whole course to forest devastation or can the deforestation trend be halted ? What would that involve? The need seems to be effective governance, involving accountability, transparency and stakeholder participation. There is also need to define and designate the “real” stakeholders in each case. 8.2.4 Voluntary Compliance and Independent Surveillance Several contradictions seem to prevail in the forestry sector. Practice of RIL and illegal logging co-exist. RIL cannot guarantee deforestation control in the face of encroachment, timber smuggling, forest fires and anthropogenic influences. Same is true of forest certification and ecolabelling. There is also the anomalous situation that, in most cases, adherence of law is enforced (if at all) only on the law-abiding operators; and illegal operators/traders are having a heyday. How can sustainability and control of deforestation be achieved in such conditions? The system of surveillance through an independent third party as enforced in PNG is an improvement. Will such systems be relevant or effective in the situations existing elsewhere ? 8.2.5 If You Cannot Measure it, You Cannot Control It Having clear definition of boundaries, area and stock accounts, details of production and utilization and so on are basic requirements for an accountable governance system. This is, by and large, lacking in forestry; and whatever had existed in the past have mostly been discarded. What is it that really prevents this (measurement and proper accounting) being “practically” done ? 8.2.6 Social Cost/Benefit Balancing In the broader market sense, there are no cost-free benefits in financial, social and/or environmental terms. One has to look for what is more beneficial (or less costly) from all aspects. And, the situation tends to be dynamic, as it will change with changes in the level of education, awareness, political biases, and commitment and co-operative spirit of the society. The role of the government/governance is to steer the
Sustainable Management of Tropical Forests – Private Sector Experiences socio-ecomomic progress smoothly and efficiently through appropriate policies and strategies. However, it is often not done. The issue here is the need for social equity and how it can be ensured. 8.2.7 Inadequate Policy Instrumentation Policy instruments can broadly be of three types: i) Regulatory restrictions – e.g. prescriptions, permits, inspections, minimum standards and other control mechanisms. ii) Market-based instruments – e.g. user fees, rent capture, performance bonds, deposit-refund system, environmental taxes, elimination of environmentally damaging incentives. iii) Public accountability – e.g. information disclosure, product certification, bench marking systems and practices, public participation requirements, social audit. There has, however, been serious inadequacies in enforcing these instruments in the forestry sector in several countries of the Asia-Pacific region. There is need to adjust/adapt and strengthen policy reforms and enforcement. 8.2.8
Other Relevant Questions
There are several related questions which come up in this connection: • Is the frequent changes of policies, rules, codes and regulations, taking place as political compromises, conducive to the stability required for SFM? • What causes administrative inefficiencies and corruption? Assuming that the causes are known (or can easily be inferred), can they be addressed effectively, without a change in political environment, in most cases? • The nature and quality of governance is a reflection of the quality of politics. How can a positive qualitative change be brought about? Without a qualitative improvement in governance, without creative destruction of ineffective and inefficient institutions, piecemeal measures such as cosmetic changes in laws, establishment of token verification systems, judicial enquiries, temporary suspension of concessions etc will not be effective. 8.3 Issues Related to Science and Technology Lack of science-based approaches for improving forest management and adequate/ appropriate technology to address the emerging problems related to resource management is often exacerbated by institutional hurdles. Some of the issues in this regard are mentioned here. 8.3.1 Technological Progress may be Unstoppable, but is Delayable The dynamic dimension of science and technology is that the frontiers of knowledge are continually expanded; answers/solutions are found for problems, and sustainable development is enabled. This, naturally, should apply also to forestry science. However, there has hardly been any breakthrough or advancement in tropical silviculture, since the adoption/adaptation of the German systems of selection and shelterwood in Asia in the middle of 1800s, by Brandis and successors. This is also true of management and utilization of tropical timber and non-timber resources. Recent forest history, in several cases, is one of discarding even the rudiments of scientific management (e.g. working plans, delineation of working circles, silvicultural prescriptions, concept of normal forests, timber accounting). Mechanisation of harvesting, often, has led to increased wastages and damages. Whatever progress there has been, was in plantation forestry, based mostly on private initiatives – in such areas as genetic improvement, cloning and production of improved planting materials. Popularisation of these improved plantation technology has in several cases been hindered by legal and tenurial problems. In some countries, misplaced nationalism resulted in resistance to planting of exotics in the guise of bio-
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Sustainable Management of Tropical Forests – Private Sector Experiences diversity conservation and protecting/promoting native species. While development of science and technology is unstoppable, it obviously is delayable – indefinitely delayable, as experience has shown. 8.3.2 Forest Resource Use and Ecosystem Response The admixture of a large number of species in the natural tropical forests, low percentage (and low MAI) of commercially valuable species, high percentage of lesser known species in the residual stock, and the long interval in the felling cycle raise several questions which are still unanswerable. For example: how to achieve fuller sustainable utilization of resources, without affecting the nature of plant association or admixture?; what will be the long term response of the ecosystem to the changes caused by selective cutting of preferred commercial species?. Lack of knowledge and need for research looms as a crucial issue. 8.3.3 Technology Gap or Ecology Gap? The situation in forestry is complex – marked by complexity of biological system, of landscapes, of stakeholders, and in the way all these aspects interact. In this regard, research and scientific approach are of paramount importance. Tropical technology seems be suffering from an ecological gap. And, inadequate attention to the role of science and technology seems endemic to forestry. Technology makes things better, cheaper and easier. Technology development is market driven. The cost of transmitting a trillion bits of information from Boston to Los Angeles has fallen from US$ 150,000 in 1970 to 12 cents today (UNDP, 2001). While such dramatic progress is not expected in landuse sectors, what is disappointing is that forestry lags far behind agriculture, horticulture or floriculture. Holistic, integrated, multipurpose, science-based forestry systems are still only talking points. How can forestry science and technology be made more dynamic is a moot issue. 8.3.4 To Reinvent the Wheel or to Turn the Wheel? In this regard, knowledge of forest history will be of practical value. Because of the long time scale involved in forestry, failures tend to be forgotten and later repeated (Rackham, 1990). Therefore, knowledge of the history of forests and their management may help human societies to avoid repeating such failures, rather than having to live with the consequences of poor decisions yet again and the travails of ‘reinventing the wheel’. Criteria and indicators for SFM is a (reinvented) tool for monitoring and evaluation and for assessing the status of SFM. If properly understood, it can serve as a catalyst for silvicultural refinements of production forestry. C&I are meant to be simple tools, but in some cases it has been artificially elevated to the level of a complex theory such that the industry and field foresters are inadequately aware or informed about C&I. It has been reported that many companies did not respond to Q500, because they were unsure as to how to answer queries relating to C&I and how their response will be interpreted. An issue here is the need for a minimum (short and clear) working definition and minimum acceptable standard (criteria) for SFM. 8.3.5 Other Related Aspects There are other related aspects and situations which deserve consideration, with regard to the above group of issues: • Confusion between National level C&I (involving, for example, policies, regulations and their implementation) and C&I at the FMU level (involving silvicultural prescriptions, conservation measures, local community involvement etc). • Inadequate practical knowledge of C&I evaluators and NGO investigators (e.g. interpreting logging to mean clear felling; expecting to find crystal clear water in mangroves and swamps; DBH misunderstood as diameter of the top log from a tree). • Lack of understanding about the ecological dynamism of selection/shelterwood systems. • Lack of knowledge (ignorance) on the part of field functionaries about new concepts, terminologies and instruments – for e.g. CDM, Carbon Management, Eco-Development, Kyoto Protocol. • Non-implementation of silvicultural prescriptions contained in working plans, lack of incentives and processes to encourage improved practices.
Sustainable Management of Tropical Forests – Private Sector Experiences • Misinterpretation of forest management, on the part of some logging operators, to mean using the forest (to take out all that is commercially utilizable). The issue in these situations is one of failure in disseminating scientific/ technological information and encouraging/enforcing their application, caused due to institutionalized indifference. 8.4 Trade-Related Issues The linkages of trade and development has been well established. The dictum: “trade to invest and invest to trade” is true of forestry as well. But, sustainability of trade and development in forestry can be affected by several extraneous factors. 8.4.1 Competitive Advantage Competitive advantage based on efficiency (distinct from nature provided comparative advantage) is an important factor in trade. For example, until the mid 1980s, the domestic market for most goods in India was closely protected by import restrictions and administered prices. Liberalisation of trade intensified rapidly after the launch of the economic reforms programme in 1991 and India’s ratification of the World Trade Organization Agreement in 1994. In some of the sectors, the liberalization was not accompanied by increasing competitive advantage. Similar situation has affected the forestry sector in several countries, which has become dependent on imports of forestry products. 8.4.2 Cost of Certification Volunteered forest certification and ecolabelling has progressed rather slowly (essentially in two of the tropical countries of Asia), mainly by companies which exports significant part of their production to western (and Australian) markets. In Indonesia, between 1993 and 2002 only one company could be “fully” certified, completing all the processes involved. Market is the driving force in this regard and accordingly a considerable portion of the logging operation in the region which are not under any such pressure will tend to play ‘soft’ on C&I for SFM. When absolutely unavoidable the companies decide to bear the cost of certification provided the cost could be more than offset by market gains, following the simple economic rationale. In this connection a question naturally arises: can the forest certification and ecolabelling of forest products be made universal and policy driven, in the interest of SFM?. 8.4.3 Certification as a Market-based Instrument Forest/timber certification as a market-based instrument for environmental conservation has tended to be too stringent – an “everything or nothing” approach. While SFM-based on appropriate C&I is expensive, there is no green premium for certified timber. Many developed countries provide subsidies to promote SFM, but most developing countries are unable to introduce such an incentive policy. Need for a phased approach has been underlined by several quarters. 8.4.4 Certification A Trade Barrier? The question is still being raised by several honest operators, who go the extra mile or incur extra cost for meeting the eco-labeling and certification requirement, whether there cannot be a simpler system of control and whether certification requirement is not a non-tariff barrier? 8.4.5 Illegal Logging an Added Cost on Certification On a similar note, the investors are concerned with illegal logging, as it brings down the market price for logs. When it starts hurting the investment (due to inaction on the part of enforcement agencies), the companies often buy back the illegally produced logs (an unholy compromise), the principle being “self before service”. The issue here is the need to control illegal logging and trade and to regulate sectoral development consistent with environmental conservation and sustainability.
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Sustainable Management of Tropical Forests – Private Sector Experiences 8.5 Institutional Issues Institutions are structured around the core represented by the policy; the other institutional components are comprised of strategy, laws/rules and regulations, organizations, HRD, system of financing, R&D and extension and M&E. Lack of co-ordination between the institutional components is, often, a major failure. 8.5.1 Weaknesses of Institutional Structure Many are the symptoms of the weaknesses of institutional structure in the forestry sector: (i) the Government(s), often, not fulfilling their obligations as committed in concession agreements with private investors (e.g. regarding infrastructure development, reforestation, revenue plough-back, timely approvals etc); (ii) confusion about the (duplicating) roles of agencies (e.g. MOF and LEI in Indonesia) in reviewing the performance of concessions in implementing SFM; (iii) ineffectiveness of logging bans (e.g. in Cambodia, India, Philippines and Thailand) in the absence of adequate implementational measures; (iv) inability of PFAs to control illegal logging and other unlawful actions; (v) undue delays in settling the rights of indigenous communities in forest lands; and (vi) inadequate skill/capacity development. 8.5.2 Need for Reforms Unclear policies, inadequate rules/ regulations; weaknesses of sectoral organizations, lacking in commitment and clear mission; and the inability of institutions to enforce policies, rules and regulations are serious issues which call for drastic institutional reforms. Perceptions about the institutional weaknesses and the need to institute reforms vary among stakeholders, which results in inadequate development of the sector. 8.5.3 Inadequacies of Enforcement Agencies In all the cases studied, except those in Malaysia, the companies complained that the government agencies create hurdles rather than provide support for private sector activities in the forestry sector, and that their will and capability to enforce regulatory instruments are low. Frequent changes of policies and policy instruments is a feature of the forestry sector in several countries. This adds to the uncertainty in the investment environment, which is not conducive for private sector participation. But in many cases, however, the problem is not in the policy per se, but in policing. 8.5.4 Corruption in Public Administration Corruption in public administration is a revolting phenomenon in several cases; and forestry sector is considered as a fertile field for corruption where a number of land and security related agencies are active players. Some 30 years ago, ADB compiled an informal report on corruption and its different manifestations, in the forestry sector of Asia. At that time it was a taboo to discuss corruption in public fora. Most of what was in that report now appears in bold print in international gatherings. 8.5.5 Lack of Reliable Information Record keeping in forestry, in several countries, appears dismal. Even the details of area under forest plantations are, often, unavailable. Other types of information – those based on surveys, inventories, research studies etc. – are also weak in many cases. Even where research information is available, they are not adequately disseminated. A major challenge to researchers is how research findings relating to SFM can be communicated in an effective and easy-to-understand manner to policy-makers. Generally, most policy makers are not trained in forest science. As such it is of utmost importance that they are provided with not only the correct facts but also in a format which makes sense to them, particularly from the socioeconomic points of view (Abdul Razak et al, 2002). 8.5.6 Need for Rationalizing and Reforming the Tenure System Land tenure system, particularly as it relates to the indigenous/tribal communities are vague, ineffective, and inequitable in many cases. The situation of customary land and landowners in PNG illustrates the anomaly
Sustainable Management of Tropical Forests – Private Sector Experiences as it affects the people’s development. The system is also not conducive for forest resource development, because under TRP/FMA concession renewal and integrated management of wood and non-wood products are not feasible. 8.5.7 Other Related Factors There are several related situations in the institutional arena which calls for consideration: • Lack of co-ordination between institutions of different sectors and different levels (central, regional, local) of governments, in aspects relating to forestry. • Lack of advocacy regarding economic contributions and externalities of forestry. • Conflicting emphasis and narrow agenda of some NGOs – e.g. rural development; tribal uplift; women’s empowerment; primate conservation; water harvesting; bio-diversity conservation. • Lack of forest resource accounting system; inadequate rent capture and need for rationalization of levies and charges; unaccounted social costs; concealed and ineffective subsidies. • Inadequate public consultation and people’s participation. • Gaps between policies and practice; between plans and actions. • “Flaws in the laws and holes in the rules” • Lack of adequate and targeted funding for forestry (ODA can only serve as a catalyst; and development cannot be achieved through charity). • Lack of realistic, implementable plans. • Need for attitudinal adjustments and bureaucratic reorientation. The private sector in forestry seems to believe, in a number of cases, that forestry profession acts in a defensive manner without asserting their professional knowledge and vision, and hides behind other disciplines such as sociology and anthropology; as a result, the scientific/ professional content of forestry has steadily fallen. Professionalism and commitment are central to the development of the forestry sector. 8.6 Environmental Issues In the conditions existing in many countries, hardly any recognition or reward is obtainable for practicing environmentally and socially sound forest management practices. Often the reverse happens. 8.6.1 Environmental Degradation due to Deliberate Action Ecosystem degradation, species loss, increasing emergence of endangered and threatened species of flora and fauna, watershed depletion, habitat loss and so on are caused by unplanned landuse changes, deforestation, destructive logging, and unscientific and unsustainable forest management. Deficiencies of policies and policy instruments are the prime factors leading to the above situation. In respect of areas under logging concessions, degradation results from over-harvesting, neglect of post-harvest silviculture (e.g. enrichment planting and protection) and non-observance of other prescriptions. There need not be a conflict between conservation forestry and commercial forestry, so long as commercial extraction is not done beyond the limit prescribed, leaving a lower value residual crop after harvest. Conservation means wise use, not non-use. In fact, in an economic sense, conservation provides maximum discounted present networth, considering the infinite future ‘costs’ and ‘benefits’. Conservation is a sound economic principle. An important issue involved in environmental and forest degradation is the deliberate flouting of scientific principles, management plan prescriptions and licence conditions, which should call for drastic penal action. On the positive side, the residual stock (i.e. the future crop) can be enhanced qualitatively and quantitatively as has been shown in some cases – eg. selective cutting and strip planting (TPTJ) followed by PT SBK in Indonesia.
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Sustainable Management of Tropical Forests – Private Sector Experiences 8.6.2 Some Related Considerations and Questions Some of the related considerations and questions in this regard are the following: • Need for promoting environmental and commercial viability of NWFPs for positive ecological and economic benefits. • Need for clearly defining the scope of conservation of tropical biological diversity. • Why do the logging operators ignore their environmental obligations ? Is it considered as a minor/excusable offence? • Is “eco-terrorism” or “environmental activism” which even prevents the practice of production forestry under sound management, a factor leading to spurious, illegal activities? • Does the multiplicity of international environmental initiatives represent new sources of support or a diluted commitment? Will it lead to duplication of efforts and ineffective use of limited resources? 8.7 Socio-Economic Issues The prime focus of policies is (and should be) the direct and indirect benefits (socio-economic welfare) to the people, provided in an optimal manner, through the use of appropriate instruments. It is essential to see that the instruments are not mistaken for the product. 8.7.1 Inadequacy of Social Concern and Commitment Socio-economic and environmental issues are closely linked, particularly because of their mutual impacts. The benefits of SFM, accrued to the communities living in and around the forest areas (and to the forestland-owning communities), and the impacts of such benefits in improving the life and livelihood of the people, vary considerably. The cases studied indicate that the more organized the communities are, the more will they be able to claim benefits due to them, and use such benefits for individual and common development. An issue here is the inadequacy of social concern and commitment of the leadership. Often, the leadership tends to make public issue of private problems to gain undeserved personal benefits rather than taking up broader social causes such as education, HRD, civic values and so on. 8.7.2 Wastages in Harvesting and Processing The level of wastage caused in harvesting and processing is an important issue. There seem to be differences of opinion as to whether the wastage is caused due to technological backwardness, cheapness of the resource, or other economic reasons (cost of extraction of poor quality material being higher than the market price of the produce). Analysis of country and case study information shows that with decreasing availability of forest resources and increasing price for products, the wastage level tend to fall in several cases. Another category of wastage, which has not been addressed in most timber concessions, is the nonutilisation of NWFPs in the concession area, since they are not covered in the concession agreement. 8.7.3 Lack of a Regular and Reasonable Flow of Income In the past, efforts for getting private investors (mainly the small investors) interested in resource creation were not very successful because of the long gestation period involved, which did not match with the time preference of the investors. Short rotation of tree crops and possibility of multiple cropping have changed the attitude of the people towards investment in forestry. There is need for developing attractive models for investment in forestry ( e.g. multiple cropping, providing better dividend/ payback) for different site conditions and market situations. 8.7.4 Poverty of Resource Owners In some of the forest concession areas in PNG, the undivided share of forest (customary right) per person ranges from about 25 ha to over 100 ha (about 150 ha to over 600 ha for a family of 6) – adequate as a source of income for a comfortable life, in other circumstances. But the forestland owners in PNG still lead a “poor” life. Who is to be blamed for the situation – the government, the concessionaires, the community leaders? How can the situation be improved? According to the ongoing processes of C&I, can forest
Sustainable Management of Tropical Forests – Private Sector Experiences management in PNG be called sustainable, considering that the concession management strictly follows all the implementing rules and regulations? 8.7.5 Myths and Realities There appears to exist several myths (and unqualified statements) on all aspects of forest resource management – ecological/environmental, social, economic, ethnological, and silvicultural (e.g. logging leads to deforestation; shifting cultivation is an elegant form of landuse; subsidy is the best form of incentive; there is solidarity among local/tribal communities; exotic forest plantations affect bio-diversity). Professional leadership has the responsibility to bring out (and disseminate information on) realities and factual situations. 8.7.6 Other Related Aspects and Questions There are a number of related aspects and questions which require attention, to enhance the socioeconomic impacts of SFM. • • • • • • • • • • •
•
Need to improve the forward and backward linkages of forest resource management. Need for managing forest resource as a capital asset. Need for policy and behavioral research related to forestry. Need for promoting NWFPs, and NWFP-based value-added processing. Waste reduction in logging and wood processing, and improved residue utilization. Effective participation of people in production-oriented forestry. Monitoring and evaluation of socio-economic impacts of forest management, and social audit of forestry programmes. Extension and dissemination of information for enhanced awareness. Bio-sustainability vs social sustainability – need for balancing ecological and economic concerns. Are the illegal activities in forestry a manifestation of social parasitism or vice versa? In either case, are there viable social remedies ? Will reaffirmation of social values work ?. Historically, political and demographic changes have lead to changes in social landscape and social relationships, which in turn can affect the physical landuse. The case studies have brought out a number of such situations – the attitude of villagers in Malinau area toward the concession holder (PT. Inhutani II); attempts of local governments to assert their powers by even ignoring the legal norms (PT. Bina Lestari I); private initiatives to establish tree farms of fast-growing, short rotation species to meet the demand for wood (e.g. ITC Bhadrachalam Paperboards Ltd). If these developments lead to social instability, it will affect economic progress, negatively. Social stability is crucial. How can forestry help in that regard? How can the social themes of evolutionary behaviour (in which a revolting aspect can by stages become tolerable, acceptable and even admirable) and creative dissatisfaction (which prompts perpetual improvement/refinement towards perfection) work in tandem in forestry? The creative dissatisfaction at the state of affairs could probably help initiate a reverse trend towards excellence.
8.8 Overarching Issues Of the various issues discussed, those covering the need for reforms aimed at clear policy and strategy, professional integrity and commitment for research and technology development, enhancement of human resource, judicious application of the legal provisions and tenure security are over-arching in nature. They also involve aspects essential for enhancing the role of private sector. 8.8.1 Poverty and Macro-Economic Instability While the contributing factors causing population pressure, high incidence of poverty and macro-economic instability originate mostly outside the forestry sector, forests/forestry can contribute to the alleviation or worsening of the situation. Capability to improve the situation, particularly for supporting development in remote/rural areas is considered as a significant attribute of SFM; but conscious efforts in that direction, often, are highly inadequate.
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Sustainable Management of Tropical Forests – Private Sector Experiences 8.8.2 Forestry A Transitory Sector? The importance of forestry to the national economy has significantly waned in several countries, particularly in those which have suffered serious depletion and degradation of forests. Also, there has not been any powerful movements in most such countries, for rehabilitating forests and forestry. In view of this situation, a questions has been raised in several quarters whether forestry science and profession are fated to be of transitory significance (inspite of their long term importance for environmental stability and bio-diversity protection). 8.8.3 Inadequate Awareness and Appreciation Genuine understanding is essential to ensure appropriate priority and balanced support for the development of important sub-sectors and programmes of the forestry sector. At the root of all the problems being faced by the forestry sector is the inadequate understanding and appreciation, and lack of conviction, about its real role on the part of most decision makers such that whiat it gets, at best, is “lip-service”. 8.84 Need for Long Range Vision The problems of today are the result of short-sighted solutions for yesterday’s problems. To get out of the vicious cycle, reforms with a long range vision are needed. For this to happen, the prime factor is an adequate system of governance, to properly guide forestry development and to create competitive advantages in the sector. Sustainable growth in the forestry sector will ultimately depend on developing competitive advantages through increasing efficiency (and improved technology), rather than extracting effortless benefits on the basis of nature-provided comparative advantages, which can soon be exhausted. 9.0 CONCLUSIONS In an inter-related environment, external developments can influence the situation within a sector. Thus, stability of the forestry sector is not decided entirely from within, and much less by the private sector involved in forestry. However, initiatives for sustainability and development have to originate from within the sector; the facilitating and regulating role of the government (without unnecessary over regulation) is crucial in this regard. With the continuing deforestation, forest degradation and inadequate management of the forest resources the question raised by Poore (1989) “whether natural forest management and trade in tropical hardwood have a real future” still remains relevant, and a poignant reminder of the fluid situation in tropical forestry. Professional, scientific and objective approaches under a good governance frame work are needed for ensuring sustainable forestry development. “Governance comprises activities by the government, the private sector and civil society and the relationship between them. Good governance translates into effective government institutions and an enabling framework (through policies, incentives, appropriate laws and strong enforcement etc) for these three sectors to operate in harmony to achieve national objectives, such as economic efficiency, economic and social equity, improved environmental quality and more sustainable forest management” (FAO, 2003a). With forest disappearing at the rate of about 25 ha a minute, there is no room for complacency. The experiences in the region teach us that participation of local people who, often, possess abundant, site specific knowledge is not an optional condition, but a pre-condition for success. While giving the clear indication that private sector can play a vital role in support of sustainable forestry development, the questionnaire survey (Q500) and the case studies undertaken in the ITTO-PMCs of the Asia-Pacific region further shows that things are not going on well with SFM. The constraints seem to be growing in terms of intensity and spread. Under proper checks and balances, and effective oversight, most private entities in forestry will be capable of satisfactory performance and to emulate the successful models. Policy reforms and enforcement are an important contributory factor in that regard. To quote from the Asian Development Outlook (ADB, 2003) the “key to success in the coming years is that Governments and firms across Asia devise strategies to take full advantage of the potential benefits that globalization, technology and competition offer. It will be necessary for them to understand what
Sustainable Management of Tropical Forests – Private Sector Experiences competitiveness means and how it fits in as a piece of the development process. Misconceptions of the nature and role of the competitiveness in the national economic development can be counter productive. Understanding that it is firms that compete in an increasingly global market both at home and abroad, and that the national policy environment can either constrain or improve their efforts, is crucial”. As already noted, the private sector success stories studied here do not represent the majority situation. They are models selected on the basis of certain suitability criteria for assessing good performance. Their merit is to be judged in the background of the problem situation existing at the country level, as well as at the regional level, particularly since they were able to perform under difficult (and adverse) conditions. It is underlined, further, that the successful cases discussed here are not to camouflage our failures, but as a clarion call to alert about the potential for disaster unless sound and sustainable forest management is urgently established. 10.0 BIBLIOGRAPHY Abdul Razak, MA. et.al. 2002. Challenges in Implementing Forestry Related Policies in Malaysia. Paper presented at the international workshop on forest science and forest policy in the Asia-Pacific region : Building bridges to sustainable future. Chennai. India. 16-19 July 2002. Acosta, Romeo T. 2002. Impact of incentives on the Development of Forest Plantation Resources in the Philippines. Presented at the APFC Meeting in Ulan Baatar, Mongolia, August 2002. ADB. 1997. Emerging Asia: Changes and Challenges, Manila. ADB. 2001. Asian Development Outllook. Country Environmental Policy Integration Studies, Manila ADB. 2002. Program Performance Audit Report: Forestry Sector Program, Philippines (Loans 889-PHI & 890 PHI). ADB. 2003. Asia Development Outlook 2003. Manila ADB/RGC: 2000. Cambodian Forest Concession Review Report. ADB-TA – 3152-CAM, Manila Anon. 2002. Green Washing and Certification. Down to Earth, Jul 31, 2002. p.27 Arnold, J.E.M. 2001. Forestry, Poverty and Aid, CIFOR, Bogor. Atyi, Ebaa and Markku Simula. 2002. Forest Certification: Pending Challenges for Tropical Timber. Tropical Forest Update, Vol. 12, Number 3, 2002. Chandrasekharan, C. 1996. Status of Financing for Sustainable Forestry Management Programmes. Paper presented at the UNDP/Denmark/South Africa Workshop on Financial Mechanisms and Sources of Finance for Sustainable Forestry, June 1996, Pretoria, South Africa.. Chrystanto, S.Y. and Aqus Justianto, 2002. Review of National Forest Policy of Indonesia. De’ Ath .C. 1980. The Throw Away People : Social Impact of the Gogol Timber Project, Madang Province. Institute of Applied Social and Economic Research, PNG. Boroko. DENR. 1990. Master Plan for Forestry Development. DENR. 2001. 2000 Philippine Forestry Statistics, FMB. DENR/UNDP. 2002. ENR Shell Programme on ENR Framework Development and Implementation: Forestry and Watershed, Bio-Diversity and Water Resources Sector Report. FAO. 1982. Tropical Forest Resources. FAO Forestry Paper 30. Rome. FAO. 1993 (a). The Road from Rio. An International Policy and Action Framework in Forestry, Rome. FAO. 1993 (b). The Challenge of Sustainable Forest Management: What Future for the World’s Forests, Rome. FAO. 1995(a). Forest Resources Assessment 1990. Global Synthesis. FAO Forestry Paper 124. Rome. FAO. 1995(b). Forest Resources Assessment 1990. Tropical Forest Plantation Resources. FAO Forestry Paper 128. Rome. FAO. 1997(a). State of the World’s Forests 1997. Rome. FAO. 1997(b). Asia Pacific Forestry Sector Outlook Study : Commentary on Forest Policy of : Indonesia, Malaysia, New Zealand, Papua New Guinea, Philippines, Thailand and Western Samoa. Working Paper APFSOS/WP/22. Rome/Bangkok. FAO. 1997 (c). Asia Pacific Forestry Sector Outlook Study: Country Report – Malaysia. Working Paper No. APFSOS/WP/07. Rome/ Bangkok. FAO. 1997(d). Asia Pacific Forestry Sector Outlook Study : Pacific Rim Demand and Supply Situation, Trends and Prospects : Implications for Forest Products Trade in the Asia Pacific Region. Prepared by Thomas .R. Waggener. Rome/Bangkok. FAO. 1997(e). Asia Pacific Forestry Sector Outlook Study : Regional Study – The South Pacific (APFSOS/WP/01). Rome/Bangkok.
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SESSION III – LATIN AMERICA-CARIBBEAN Chairman: F. Pastore
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REGIONAL REPORT ON PRIVATE SECTOR EXPERIENCES IN SUSTAINABLE FOREST MANAGEMENT IN THE LATIN AMERICAN-CARIBBEAN REGION RAPPORT REGIONAL SUR LES EXPERIENCES DU SECTEUR PRIVE EN MATIERE D’AMENAGEMENT FORESTIER DURABLE DANS LA REGION D’AMERIQUE LATINE-CARAIBES INFORME REGIONAL SOBRE LAS EXPERIENCIAS DEL SECTOR PRIVADO EN MATERIA DE ORDENACIÓN FORESTAL SOSTENIBLE EN LA REGIÓN DE AMÉRICA LATINA-CARIBE
I. Tomaselli ITTO Regional Consultant
EXECUTIVE SUMMARY INTRODUCTION Project PD 48/99 Rev. 1 (M,F) “Sharing of Information and Experiences on Private Sector Success Stories in Sustainable Forest Management” was designed in line with the Year 2000 Objective established by the International Tropical Timber Council (ITTC) at its 29th session. The project derives from the urgent need to collect, compile and analyze global information on experiences with sustainable forest management (SFM) to help promoting “best practices” within the private sector of tropical timber producing countries. The project aims to provide a mechanism to survey and disseminate information on successful cases of SFM at company level. Project PD 48/99 Rev. 1 (M,F) has a global coverage. It covers the ITTO producing countries, grouped into three major regions: Africa, Asia, and Latin America-Caribbean. This report covers the Latin America-Caribbean region only.
CONCEPT OF SUSTAINABLE DEVELOPMENT AND SFM Definitions and Dimensions in the Latin America-Caribbean Region Over the last two to three decades various definitions or concepts of SFM have been developed. ITTO’s definition of SFM states that: “Sustainable forest management is the process of managing permanent forest land to achieve one or more clearly specified objectives of management with regard to the production of a continuous flow of desired forest products and services without undue reduction of its inherent values and future productivity and without undue undesirable effects on the physical and social environment”. When the concept of SFM in broad terms is brought to discussion, there is a large level of agreement between the various parties. However, when addressing specific situations, the level of disagreement between parties increases, due to different objectives and interpretations when assessing the range of demands on forests, such as: i) preservation of biodiversity; ii) maintenance of economic productivity; iii) respect for intergenerational equity; iv) responsibility for social and cultural needs; v) soil and water course protection; vi) safeguarding the values of native people and rural communities; vii) offering recreation; viii) preserving existing values; ix) landscape values; and x) other aspects. Selective logging systems still dominates forest management practices in the Latin America-Caribbean region, normally based on a set of criteria such as the selection of species and/or the application of minimum harvesting diameters. Although forest management has been recognized worldwide, its implementation level varies greatly and is often very low. Some of the principal reasons for the slow progress in adoption of SFM are amounted to: i. The extreme caution of governments towards a very new conception of forest management which commits them in the long term without the possibility of referring to previous tested results; ii. The lack of enthusiasm of many companies, which similarly do not see any reason for changing their present logging practices without guarantees; iii. Insufficient technical understanding of natural regeneration which has led to heavy silvicultural restrictions; iv. The weight and rigidity of constraints imposed on harvesting (number of species to be harvested, short duration of harvesting operations, silvicultural operations that are required, etc); which can eventually jeopardize the financial position of the company; v. The emergence of social problems caused by the often illegal colonization of forest areas; vi. Undeveloped markets for timber and processed products produced from secondary or lesser known species (LKS); vii. Undefined property rights and changes in the “rules of the game” through new and updated legislation; viii. Difficulties associated with the determination of the overall cost(s) and benefit(s) of forest management.
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Criteria and Indicators for SFM and Certification/Ecolabelling Initiatives Criteria and indicators provide a means to measure, monitor and demonstrate progress towards achieving sustainability of forest management in a given country or in a specified forest area over a period of time. The most relevant criteria and indicators for SFM in the Latin America-Caribbean region are: i) Amazon Cooperation Treaty – ACT (Tarapoto Process for the Development of Criteria and Indicators for Sustainability of the Amazon Forest); ii) Lepaterique Process of Central America; iii) ITTO Criteria for Measuring Sustainable Tropical Forest Management; and iv) the Centre for International Forestry Research (CIFOR). Forest certification is an instrument used to confirm the achievement of certain predefined minimum standards of forest management in a given forest at a given time. One of the recognized systems of forest certification of tropical forests is the FSC. In the Latin America-Caribbean region, FSC is the only certification system that has been adopted for extensive areas, but there are new initiatives gaining importance, such as CERFLOR in Brazil. Around the world, other relevant certifications systems have been adopted, as for example PEFC in Europe, and Sustainable Forestry Initiative in the US.
FSC Certification System FSC was established in 1993 to support environmentally appropriate, socially beneficial, and economically viable management of the world’s forests. FSC encourages and supports national and regional initiatives, which are in line with the FSC mission. The objective of the FSC National Initiatives Program is to decentralize the work of FSC and to encourage local participation. In the Latin America-Caribbean region, there are FSC National Initiatives in Argentina, Bolivia, Brazil, Colombia, Ecuador and Peru. Since 1993, the global area of forests certified by FSC (including natural and plantation forests) has grown from a little more than 0.5 million ha to more than 40 million ha in 2003. While the area of 40 million ha sounds impressive, when placed in the global context the forest area certified by FSC only represents 1% of global forest cover (3,869 million ha). The extent of forest area certified by FSC in the ITTO producer countries of the Latin America-Caribbean region reaches approximately 2.9 million ha, representing 7.3% of the total area certified by FSC worldwide. Notably, in the Latin AmericaCaribbean ITTO producer countries natural forests certified by FSC account for approximately 67% of the total certified area, with plantation forests representing 32%, and mixed (plantation and natural) the remaining 1%. The certified forest area in the region by FSC represents less than 0.4% of the total forest area in Latin American/Caribbean countries.
CERFLOR Certification System The Brazilian Forest Certification System (CERFLOR) started in the late 80’s, but developments in the past were slow. The system is now operational for forest plantations, and the first management unity was certified in early 2003. The development of CERFLOR system to cover natural tropical forests is expected to be completed in 2004. The area of forests certified by CERFLOR is 50,000 ha. Currently, a total area of approximately 165,000 ha is under process of certification by CERFLOR, which will probably be certified by the end of the first half of 2004. There are some international initiatives related to the possibilities for mutual recognition between different international and national certification schemes, including CERFLOR. For instance, the International Forest Industries Roundtable (IFIR) undertook the task to establish general rules for the mutual recognition process. Recently CERFLOR jointed PEFC. This fact and adjustments in the system will facilitate the international recognition of CERFLOR.
REGIONAL FORESTRY SITUATION Forest Cover ITTO producer countries in the Latin America-Caribbean region cover a total area of approximately 1,225 billion ha of which just over 66% of the area (807 million ha) is covered by tropical forests. The area covered by tropical forests in the Latin America-Caribbean region represents 21% of the total area covered by forests in the world. The Amazon Forest represents the largest concentration of tropical forests in the planet. Forest plantation areas in the ITTO producer countries of the Latin America-Caribbean region are relatively small (7,100 million ha) contributing with 4% of the total world plantation area. The forest plantation areas of the region are mainly concentrated in Brazil (70%).
Tropical Log Production The annual global production of tropical logs by ITTO producer countries in the Latin America-Caribbean region accounts for approximately 30% of the global production. The tropical log production in the Latin America-Caribbean region was around 35.9 million m? in 2002, being mainly consumed locally for sawnwood.
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Deforestation and their Causes In the last two decades, the Latin America-Caribbean region has been affected by deforestation and forest degradation. The annual change in forest cover (deforestation) of the ITTO producer countries in the Latin America-Caribbean region is estimated annually to be in the order of -3.5 million ha per year. Guatemala, Panama and Ecuador have the highest annual deforestation rates. The driving force of deforestation in the Latin America-Caribbean region is mainly associated with the expansion of agriculture and permanent pasture. Some other aspects may be considered part of the deforestation problem in the region such as: i) land tenure regulations; ii) timber exploitation; iii) construction of infrastructure, as for instance roads. The effects of deforestation, forest degradation and forest fires represent a permanent loss of the potential capacity of forest resources to generate economic benefits. These impacts are more severe in some countries than others. Most Caribbean countries have depleted forest resources so much that they must now import forest products, creating an additional need for foreign exchange. In countries with extensive forest resources, such as Brazil, Peru and Bolivia, deforestation has had less overall impact, although at the local level the impact can be significant.
Area under Protection The ITTO producer countries in the Latin America-Caribbean region have recognized the environmental importance of their forests by establishing protected areas basically in the form of: i) national parks and recreational areas; ii) forest and biological reserves; iii) environmental protection areas; iv) indigenous reserves; v) ecological zones; vi) nature sanctuaries; vii) national monuments; and viii) others. The area under protection in the Latin America-Caribbean ITTO producer countries is estimated to be around 172 million ha, which represents approximately 14% of the region’s total area. Despite large forest area under protection in the Latin America-Caribbean region, it is worth mentioning that many protected areas were not set aside trough a process of comprehensive planning. Parts of the protected areas in many countries of the region are subject to serious administrative deficiencies, resulting in problems such as illegal removal of timber and illegal occupation of areas, among others.
Private Sector Involvement in SFM There is no doubt that the private sector is the main investor in SFM in the Latin America-Caribbean region, but governments have a role to play in attracting more private funds to further improve forest practices. It has been recognized that availability of domestic public funds especially in developing countries, even when combined with resources made available by international cooperation, have not been sufficient to help the private sector to implement SFM. Although governments and private sector have agreed on several standards to implement SFM, it seems that most governments have underestimated the needs for new and additional funds to implement SFM, leaving the task of finding new and additional funds to finance SFM to the private sector. Furthermore, the private sector is now also being requested to support growing government expenses resulting from excessive regulation and the growing size of the State. The private sector in the Latin America-Caribbean region ends up paying doubled. As the private sector is not willing (or has no means) to pay the full bill, the result is less money to implement SFM and growing informality (illegal logging). Funds needed for control and monitoring is growing and less money has been applied in the implementation of SFM at field level by the private sector.
Forest Policy and Legislation for SFM Many governments throughout the world have undertaken actions to orient their national forest policies towards the conservation and sustainable management of their forest resources. Most countries of Latin America-Caribbean region have formulated policies, explicitly or implicitly in their legislation, which show concern for maintaining forest resources. In this respect, it must be noted that many countries do not have fully developed forest policies and legislation. Measures forbidding or limiting conversion of forest land, incentives for forestation and natural forest management, the creation and maintenance of large protected wild areas, the promulgation of various legal standards aimed at protecting or regulating the use of resources, strengthening protection programmes against fires, studies on sustainable management indicators and forest certification, and the formulation of national forest programmes, among others, are nearly the common denominator in the forest policy of most of the countries of the Latin America-Caribbean region. Another important element of forest policies in the Latin America-Caribbean region is the increasing incorporation of multiple groups of interest in their formulation, including non-governmental institutions, ethnic groups, rural communities, ecologist groups, international organizations, and others. This evolution has come about as a response to the growing interest of society in forests and use of natural resources and in all the environmental benefits associated with them. As a result, subjects such as payment for environmental services, carbon sequestration and others, which transcend the sphere of the traditional actors of the forestry sector by far, are becoming increasingly important.
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Incentives and Financing Mechanisms for SFM For some countries in the Latin America-Caribbean region, the incentives and financing mechanisms for the establishment of forest plantations is practically a solved problem. By contrast, there are no incentives and financing mechanisms available in the region for natural forest management. In spite of having several problems that are and will continue to inhibit the private sector from investing in SFM in tropical forests, most of the financial resources flowing into SFM come at this moment from private resources. The solution requires coordination among all stakeholders (governments, international cooperation, private sector, and civil society). It has to be recognized that the private sector is already playing an important role in financing SFM, but can do more. There is no simple solution envisages but the basic principle is clear: if the private sector has to increase its contribution to financing SFM, governments and other stakeholders need to create the necessary environment for investment. Investment in needed to improve performance and competitiveness in the market. The market is, at the end, the main source of funds to finance SFM. Incentives need to be developed to catalyze adoption and to enhance performance, but to sustain the process, other conditions need to be met. These other conditions include, among other things: appropriate, stable and transparent regulations, economic and political stability, guarantee of access to forest resources and to markets.
PROJECT FINDINGS The project was carried out taking into account three stages: i) Q500 questionnaire; ii) Q20 questionnaire; and iii) final regional report.
1st Stage – Q500 Questionnaire The first stage comprised a survey on SFM at company level that aimed to obtain 150 completed Q500 questionnaires in the ITTO’s producer member countries of Latin America-Caribbean region. Table 01 presents the overall numbers of questionnaires (Q500 questionnaire) sent and received to/from Latin America-Caribbean countries. A total of 852 questionnaires were sent to companies in the mentioned region, of which 69 responded, a relatively low response considering all efforts made. Contact made with companies allowed for the identification of reasons that may explain the low response rate observed for the Q500 questionnaire. The reasons include: i) the reduced number of the active companies, specially in relatively small countries such as those in Central America; ii) the length of the questionnaire (6 pages), and in particular the number of questions listed; iii) difficulty experienced when attempting to complete the questionnaire in electronic format (Excel) due to problems in accessing the data fields; iv) absence of technical personnel with capacity to answer the questionnaire in-house; v) non-existence of prompt required information by some companies; vi) some companies were suspicious of inspection by the pertinent governmental/non-governmental bodies based on information contained within the survey; and vii) lack of interest of the companies on to the subject. Table 1. Responses obtained to the Q500 by ITTO producer member countries in the Latin America-Caribbean region
COUNTRY BRAZIL BOLIVIA COLOMBIA ECUADOR GUATEMALA GUYANA HONDURAS PANAMA PERU SURINAME TRINIDAD AND TOBAGO VENEZUELA TOTAL
TOTAL NUMBER OF COMPANIES CONTACTED
NUMBER OF RESPONSES OBTAINED
% IN RELATION TO THE RESPONSES OBTAINED
232 67 101 59 89 10 52 6 156 9 25 46
40 7 5 6 1 1 2 2 3 --2
17 10 5 10 1 10 4 33 2 0 0 4
852
69
--
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Anyway, the analysis of the questionnaires returned indicated a reasonably high quality of responses. Practically 80% of the Q500 questionnaires answered were completed almost in totality, while the remaining 20% lacking responses to a number of questions within the questionnaire, but still sufficient to cover the project needs. It is important to notice that five other Q500 questionnaires were returned, but were not considered as the companies operations were outside the scope of the project. According to the responses obtained by the Q500 questionnaire, the following comments can be made: •
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•
•
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•
Type of companies: out the 69 companies, 97% are privately owned, with the majority of them small and medium-sized enterprises. The remaining companies are joint ventures between government and private entrepreneurs. It was not identify any state-owned company. Integration of activities: in 91% of the responding companies the forest area (either private or concession) are integrated with industrial facilities. However, such data cannot be generalized for all Latin AmericaCaribbean region. Some particularities must be taken into account. This means that SFM of tropical forests in the Latin America-Caribbean region has been mainly practiced by timber companies that have a vertical integration (forest + industry + trade). The majority of timber companies in the Latin America-Caribbean region is non-integrated and it occurs because most of them are small-sized and low capitalized. Forest Management: 94% of the surveyed companies have a forest management plan. Nevertheless, only 54% of the forest management plans are consistent with the ITTO guidelines for the “Sustainable Management of Natural Tropical Forests” and “Conservation of Biological Diversity in Tropical Production Forests”. It is important to mention that 41% of companies surveyed had no knowledge on ITTO guidelines. According to the Q500 questionnaire results, the main management system practiced by the companies’ is “selection”, with 65%, followed by “shelterwood” (42%), “clear felling” (12%), and “ad-hoc” (9%). Logging: most companies operating in the Latin America-Caribbean region is logging based on harvesting plans (83%). The only harvesting system practiced is “tractor skidding”. It is also evident that most forest companies that employ harvesting plans are using RIL practices. Biodiversity Conservation: 43% of the companies surveyed have endangered species in their forest areas. Furthermore, in 87% of the companies, shooting and hunting are not allowed (which somehow contributes with the preservation of the endangered species). Furthermore, 70% of the companies surveyed have areas reserved for conservation or protection. Non-wood Forest Products (NWFP) Utilization: only 20% of the surveyed companies produce NWFP, predominating medicinal, fruits and nuts. Although less important than timber, NWFP still has an important share of the forest product market in some countries, as for instance in Bolivia (Brazilian nuts). Forest Services Recreation and Ecotourism: most of the surveyed companies (64%) provide some type of forest services. The greater forest services provide by the companies are conservation, protection, education and wildlife refuge. Smaller importance is given to recreation, and carbon sequestration. Social Aspects: most surveyed forest companies provide some kind of welfare facilities to its employees as well as to the community involved. The most common benefit is housing with 70%. In second place comes healthcare 62%, followed by water (49%), electricity (43%), and education (28%). Wood Products: more than half surveyed companies (56%) produce sawnwood. Plywood is also an important product manufactured in the region (31%). In spite of the broad interest, only 23% of surveyed companies are producing secondary wood products (flooring, moulding, furniture, and others). Security and Law Enforcement: 81% of the companies were not involved in court cases relating forest law violation in the last few years. This is result of the intense engagement of these companies in relation to the compliance with the forest law in force in their country and, consequently, the adoption of mechanisms aimed at SFM. Research and Development (R&D): from the companies inquired, 51% undertake some kind of R&D activity. International cooperation has been playing an important role in the region’s forest research. It is recognized that without the cooperation of developed countries and international institutions, progress in SFM of tropical forests would be very slow and distant. This becomes clear, when analyzing research data, since 57% of the R&D projects undertaken by the companies have external funding. Certification: only 19% of the inquired companies have a certified forest, while 78% do not possess any kind of certification. The results of the surveys points out that there are signs of improvement in this scenario. Around 62% of the non-certified forest companies inquired intend to undertake forest certification in the near future.
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2nd Stage – Q20 Questionnaire Based on Q500 questionnaire analysis and criteria set by the project, nine companies were selected to be assessed at a second stage. Out of these nine companies, four are in Brazil, three in Bolivia, one in Colombia and one in Ecuador. For each selected company a Q20 questionnaire was sent. Analysis of the data collected through Q20 questionnaire indicated a high quality of responses. The Q20 questionnaires were mostly completed by the regional consultant in cooperation with representatives of the selected companies that were visited. Practically all Q20 questionnaire answered were almost entirely completed. Based on those companies that are successful on the implementation of SFM in terms of financial, market and environmental results, as well as specific criteria for selection, the following companies were selected for the case studies: • • • •
Empresa Agroindustrial LA CHONTA Ltda; GUAVIRÁ Industrial e Agroflorestal Ltda; ORSA Florestal S. A.; CIKEL Brasil Verde S. A.
3rd Stage – Case Studies The third stage, Case Studies, comprised the preparation of case studies. In this section, a brief account of the cases is presented.
La Chonta La Chonta is a Bolivian private-owned company. The company manages 220,000 ha of tropical forests, distributed in two concessions (government forest land) located in the Guarayos and Bajo Paragua regions, central western part of Bolivia. The company employs 350 persons and its total annual revenue is around USD 4 million. After 1997, taking into consideration the new Bolivian Forest Law, the company decided to embark in a new approach and the forest concession began to be managed in a sustainable way. Nowadays, both La Chonta forest concessions are certified by FSC. To improve forest practices and adopt SFM, La Chonta had to increase the number of tree-species harvested, and thus was unable to harvest higher volumes per unit area. In the past the company was based on a few valuable species and removals were normally less than 1 m3/ha. This was only possible due to the high market price of the so-called valuable species (mahogany, for example). With the adoption of improved forest practices the increase on harvesting volumes became quite important, not only to mitigate the pressure over the precious wood species, but also to make it possible to internalize the new and additional costs resulting from the adoption of improved forest practices. At moment the company is harvesting between 3 and 8 m3/ha. This is still a relatively small volume when compared with operations held in other countries of the region, as for instance in Brazil. No doubt that the increase in the volume removed reduced the harvesting costs, but it created another problem: many of the new harvested wood species are not known in the international market, and when accepted have a low market value. La Chonta faced difficult times, since in many cases the costs of production, mainly due to logistics that leads to high transportation costs to the main consuming markets, is a strong limitation for timbers with no tradition in the market (LKS). The domestic market could be, in principle an alternative, but as expected it is too small to absorb the volumes. La Chonta has two sawmills, both located close to forest concessions (La Chonta and Lago Rey). Part of the production is traded in bulk, while better grades are reprocessed into value-added products. The production capacity of the re-manufacturing facility is around 2,000 m?/year of finished products (door, moulding and flooring). Annually, about 20,000 doors are produced. The chain of custody is also certified by FSC. Wood processing activities were strongly affected when SFM was adopted. The knowledge gained in processing traditional wood species, as for example mara (mahogany), roble and cedro, was no longer valid when LKS entered into production. The high commercial value of these species, traditionally traded, and widely accepted by the market, contributed to the low efficiency in the value chain. With the adoption of SFM and the introduction of LKS, several actions were needed to improve efficiency of the mill, and this included several investments to develop new processes and products, and also investments in the processing facilities. The lesson learnt by La Chonta points out that introducing LKS is fundamental when adopting SFM. Processing LKS requires an increase in the scale of production (starting at the forest) and the adoption of improved processing technologies in order to reduce production costs and increase product values. It was also learnt that LKS have a lower market value, well below traditional wood species, and are very unlikely to have price increases along the years. Thus, without cost reduction and addition of value it is not possible to have a profitable operation, which is necessary to improve forest practices.
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Moreover, the lessons learnt by La Chonta operating in Bolivia indicate that an adequate policy and legal framework, and particularly law enforcement, plays an important role in the promotion of SFM. However, the private sector in Bolivia ended up paying for the full costs of SFM adoption, since the Government has no economic instrument or other mechanism that would effectively encourage the adoption of SFM. There was hope to recover the additional costs from the market, but no price premium is paid for sustainable produced timber, even when certified. The changes require more than good will. New investments in whole value chain are needed. This has been a strong limitation for La Chonta, since in Bolivia financial sources for direct investments in the timber industry are quite limited and, when available, costs are too high.
Guavirá Guavirá Industrial e Agroflorestal Ltda. is a Brazilian private-owned company. The company is totally integrated, and cover forest operations and harvesting, manufacturing (primary and secondary processing facilities), and trading. The operations involve around 250 persons, and its annual turn over is approximately USD 7 million. Guavirá owns around 80 thousand ha of lands located in Mato Grosso State (private lands). Out of this total 58 thousand ha is covered by natural tropical forests managed for production. It is one the largest SFM plan of the State of Mato Grosso. The SFM plan prepared by Guavirá has been considered by the State authorities and also by the national forestry agency-IBAMA as a model to be followed. Although the company could purchase logs in the local market, currently all timber supply originates from their own forest land kept under SFM. The forest land owned by Guavirá is quite unique, with much lower variability than in other parts of the Amazon region. There are basically 24 that in principle are considered as commercial tree-species in GUAVIRÁ’s forests, but in view of the large concentration of species the decision was only to harvest half of the species available. Cedrinho (Erisma uncinatum) is the dominant tree-species and it is responsible for around 50% of the total timber removals. Depending on the location, cedrinho volume varies between 10 and 15 m3/ha (in reduced areas the volume can be higher). The remaining 50% of the volume harvested is represented by 10 other tree-species. It is an important competitive advantage for GUAVIRÁ to have a high volume concentration on a single tree-species (cedrinho) with broad market. Harvesting operations are quite efficient. The company harvesting and transportation operations are carried out all the year round, while in most operations in the Amazon region they last for no more than 6-8 months per year as a result of the rainy season. This is only possible in view of the local conditions (particularly soils) and especially the harvesting approach adopted by Guavirá, that includes the construction of roads to access specific harvesting compartments during the rainy period. As a result of having operations during twelve months of the year, and the use of improved harvesting and transportation technology and equipment, the costs of these operation is much lower than those faced by competitors. The equipments used are basically one skidder, one front loader and five 70-tons-lorries, and this is sufficient to supply the 85,000 m3/year consumed by the mill. In order to strengthen its competitive advantage, GUAVIRÁ decided to invest in a modern sawmill. The main reasons for investing in a new sawmill were: increase in productivity, reduce wood waste and improve the product quality aiming to gain the international market. The project for modernising GUAVIRÁ’s operations and facilities was carried out with the support of a consulting company. The modernisation of the industrial facilities involved: i) the building of a modern sawmill with a production capacity of 60,000 m3/year of sawnwood to replace the existing three small-sized ones, including dry kiln facilities; ii) the building of a modern secondary processing plant in order to add value to sawnwood, as well as to improve wood recovery; and iii) the establishment of a power plant based on wood waste. The power plant was initially planned to be built during the construction of the sawmill, but due to the involvement of an independent power producer-IPP, this investment was postponed. The total investment was around USD 12 million. About 50% of the total investment was financed by the National Bank for the Economic and Social Development-BNDES. This was the first financing granted by the BNDES to a timber industry operating in the Amazon region and based on tropical timber. Besides investing in the modernization of the mill the funds made available by BNDES were also applied in expanding forest plantations and for social program. The investments made were important to enable the company to gain the international market (prior to the new mill 100% of the production was sold in the domestic market mainly as a construction material). During the construction of the new mill several missions were held to main markets to identify best options in terms of products, market channels and clients. Currently, Guavirá produces 45,000 m3/year of tropical sawnwood. Higher grades are transformed into value added products (around 10,000 m3/year of value-added products are sold mainly in the international market in form of mouldings, decking, furniture components, etc.). As a result of the strategy adopted (adding value to a significant part of the production and trading in the international market) the average selling prices increased by more than 100% over the last 3 years. The increase on the average price made it possible to increase revenues and profitability, while at the same the volumes harvested declined.
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From Guavirá case it is clear that to increase the productivity in the production chain is fundamental to compete in the market and to ensure the economic sustainability of the business, the most important factor to ensure that the environmental and social criteria set for management are achieved. In any case, Guavirá has questions regarding the long term economic sustainability of the business. Increasing complexity of the legal framework dealing with forests, the growing overlapping of regulations resulting from the on-going decentralisation process is continuously increasing the operational costs. This stimulates informality and corruption, especially when coupled with weaknesses in law enforcement. There are serious doubts particularly regarding how effective government will be in enforcing law related to property rights in the future. This might limit the investments in the future.
Orsa Florestal The Jari Valley region, located in the north region of the Para State, Brazil, 600 km far from the capital Belém, has its history intimately linked to the Jari Celulose forestry activity (known all around the world as Jari Project) installed in the region in 1967. The project started with the establishment of plantations and later (in 1978) a pulp mill was started. In 2000 Orsa Group took over the project, and it was decided to implement in the region a Sustainable Development Pole, focused on the multiple use of the forest resources, besides continuing the growth on the pulp business (so far the main economic activity). In 2003, Orsa Florestal started up the activities of its sustainable forest management plan in an area of 545,000 ha. A rotation of 30-year was considered in the management plan. In the same year, the company initiated the FSC certification process, together with the Scientific Certification System (SCS). Besides the timber, NWFP are also expected to be certified. The idea is that NWFP will be harvested by the local community, with the support of the company and Orsa Foundation. The company also started up a sawmill. The current production is 1,500 m3/month, and production is air dried prior sent to final consumer. Along 2004 the sawmill capacity will expand to a production of 3,000 m3/month. The company is also putting in place secondary processing facilities aiming to produce S2S, S4S, decking, flooring products and other value added products. Along the last decade Brazil has developed an extensive and complex framework of laws, policies and regulations that support SFM. This includes a clear definition of national objectives related to forests (production, conservation and protection), tenure of property rights, control of forest management and harvesting and other elements. In fact, Brazil is perhaps one of the countries in the world with the most complete regulatory framework dealing with forests. The Jari Project, due to its magnitude, foreign investment involvement and location has been under discussion level for a long time. Problems related to the internationalisation of the Amazon region, social and environmental impacts have been raised at national and international level. Furthermore, the economic viability of the project has been questioned, and for more than two decades the investments were reduced and there were doubts regarding its continuity. The transfer of the company control to a national group of investor mitigated the problems related to the internationalisation of the Amazon region, but concerns on the negative social and environmental impact, as well as the doubts regarding its economic sustainability continued under discussion. Orsa Group decided to focus on the weakness of the project. New management concepts introduced, including a clear corporate policy involving environment responsibility, research and development and better uses of the local resources, have changed the image of the company. There is no doubt that lessons learnt over almost half century have been of outstanding importance for introducing the new management approach, but it needs to be recognised that Orsa was able to critically analyse the problem, and use the experience gained to restructure the operations and turn it in to a sustainable business, fully integrated to the local reality. The knowledge gained in relation to the establishment of fast growing plantations in the tropical rainforest regions is of outstanding importance. It took several years of intensive research, extensive field testing and very large investments to reach the current stage of high productive plantations, able to produce high quality pulp wood. The increase in yield of the plantations made it possible to reduce land area requirements and, what is most to turned the company profitable. Original total land owned by Jari Project have also been reduced. Orsa recognized land rights of some local communities and also created protected areas in certain special environments. This reduced the conflicts in the region and improved the image of the company, and still there is sufficient land to explore, in cooperation with the local community and several organisations, options for the sustainable development of the natural forest. The natural forest potential is now an important component of the company business. No doubt that Orsa is still in an early process of learning how to manage tropical natural forests, but by having a well-established management structure, financial resources available, and a well-defined strategy and business plan, the learning process has been facilitated.
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One of the strengths of the company in the social, as well in the environment area, is Orsa Foundation. The Foundation has available 1% of the gross annual revenues of the Group to implement the programmes and projects. The Foundation structure and funds is of outstanding importance to facilitate the cooperation with the community and also with national and international organizations. Under the social programme the implementation of SFM will allow to carry out several activities to generate revenues for local communities. One of the activities is related to non wood forest products. The idea goes beyond the creation of jobs, it passes through human resources training in aspects of production and organisation, enabling the creation of new businesses ruled by the local communities, aiming at improving local economy. Orsa is an example of a company that has made a tremendous effort to adopt SFM, incorporating an integrated approach, having in mind that the economic sustainability is the basis to satisfy social and environment criteria. The assessment clearly indicates that having available financial and human resources is fundamental to achieve the target. In the case of Orsa these factors are not, in principle, a strong limitation. It seems that the company is on the right track, but how successful the company will be in SFM will remain to be assessed in another few years.
Cikel CIKEL is a Brazilian private-owned group established in 1974. It is a fully-integrated timber company. Their operations cover logging and harvesting, manufacturing (primary and secondary processing), and trading. CIKEL is one of the largest timber companies operating with tropical timber in Latin America. The company employs around 1,800 persons and their total annual income is approximately USD 27 million. In 2000, CIKEL decided to incorporate five small forest management plans in just one large project, covering an area of 206,412 ha. The new forest management plan was intended to involve all the technological and scientific knowledge available. Initially, CIKEL invested in human resources in-company. It developed its own forestry department. Moreover, all the supporting office and field infrastructure was created as well. At the same time, the company has established several partnerships and agreements with research centres, universities, NGO’s, among others, aiming at subsidizing information and knowledge needed for the elaboration of CIKEL’s SFM plan. Experts of different fields and several institutes and organizations were divided into working groups and, together with CIKEL technicians, they developed the company’s SFM plan. Until recently, such SFM plan was the largest one developed, implemented and submitted to responsible government authorities in Brazil. The SFM plan implementation required a strong commitment by CIKEL to the local community. In fact, the company managed to find ways of making the local and traditional population aware of the importance of SFM and of its conservational contribution to the region. Initially, the idea was to put in practice an environment education programme focused on the community located in the forest management unit, but in the long run, it was expanded to all surrounding community. The conception of the company’s forest management project, considered innovative, multidisciplinary and inter institutional, lead the company to adopt the principles, criteria and indicators of the International Forest Certification, according to the Forest Stewardship Council (FSC). Logically, among the several benefits reached by CIKEL after SFM plan implementation, there were great challenges which were necessary to be overcome, despite some of them still remaining. The main difficulties are listed as follows: i) lack of incentive mechanisms by the local, state and federal governments; ii) the press prefers to market hard news on projects in the Amazon; iii) not loyal competition in terms of market, including the domestic one, which does not take into account social and environment principles in their buying preferences, only being based on price; and iv) constant demands of innovative investments in environment technology and specific trainings. In relation to the synthesis of generated benefits, they are: i) better relationship with the community, including the possibility of offering qualified jobs; ii) higher commitment of the employees in solving routine problems; iii) breakthrough in relation to profiting with environment conservation; iv) incitement of the tree-species traded in international markets; v) better environment image of the entrepreneurship located in the Amazon; vi) increase of the international competition in “green markets”. It has been observed that many results can be considered intangible as many investments in environment area show because of the difficulty in economically measuring this cultural transformation promoted in this study case. This issue becomes even more relevant since it is located in a region of significant logistic difficulties in comparison to other industrialized sectors where the environment component is only one of the factors that interferes in the economic performance of the entrepreneurship. Even being considered as model for SFM in the tropics, by having accumulated large experience along the last years there are some problems to be overcome. The main problems can be summarized as: i) lack of adequate
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government financing mechanisms to effectively promote the adoption of SFM; ii) complex legal framework results in increase in costs and competitiveness in the international market (there are other sources of timber much less regulated); iii) unstable regulatory framework and particularly uncertainties in relation to land and forest property rights creates makes decisions on long term investments in forest and industrial operations difficult to be taken; iv) image of the timber industry continues to be a limitation to access credit and other benefits; v) fails in national law enforcement, that leads to unfair competition in the market. As it can be noticed most of the problems listed can not be solved by the company. It requires in principle the direct involvement of the Government at federal and state levels.
MAJOR ISSUES Governance Related Issues Complex and Inefficient Regulations The international concerns related to forests and environment, coupled with a general weak institutional framework of the Latin American and Caribbean countries, have made many countries of the region largely dependent on the international bilateral and multilateral cooperation, as well as on international NGOs, to develop national policies, laws and regulations at all levels. Together with this intra sectoral development other extra sectoral factors have also affected the development of the regulatory framework related to forest and environment. One of the important extra sectoral factors is related to general policies towards decentralisation. In most countries several international organisations, from different origins and vocations, were involved in the process. Weak institutions in countries of the region were not able to properly influence or drive the process, and the general result is a quite complex legal framework, that does not take into consideration the local conditions. This leads to problems in law enforcement, facilitating corruption and increasing operational costs for the formal sector of the economy. The list of requirements to be covered for a company operating in the tropical timber business is quite extensive. There are also other common problems, including a frequent overlapping between the federal government and state governments (a source of additional costs and conflicts) and lack on stability in dealing with laws and regulations (that put in question returns on long term investments). In any case, the assessment made indicates that the private sector, being an important investor in SFM, has learnt from the process and based on their practical experience should be invited by governments to discuss options. Among the questions put for discussions by the private sector during the implementation of this study, and that governments of the region might want to consider in future discussion are: •
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The size of the state structure was increased to make it possible to implement the complex regulatory framework related to forests and environment along the last years. How efficient are governments in the implementation of the existing regulatory framework? The costs involved can be justified in a cost-benefits analysis? Is decentralisation working and helping to promote SFM or is it, in fact, an alternative source of funds for sub national governments, adding more costs to private sector operations? Is the developed regulatory framework helping SFM or is it creating obstacles and reducing the value of forests, and thus indirectly promoting deforestation? The additional costs resulting from the adoption of practices to generate broad social and environmental benefits are now internalised by the timber production private sector. Should these costs be socialised (nationally and internationally) and shared among all beneficiaries? Why should forests activities in the region be more regulated than forests activities taking place in other regions? Is this fair for local companies considering that companies compete in a global market? Have sufficient investments been made by governments in proactive initiatives, targeting the root of the problem such as in education? How stable is the current regulatory framework? What will be the next and how can investors be sure of returns in such an environment?
In fact, in most cases, regulations in place were not broadly discussed and agreed among the stakeholders, local knowledge has been ignored, and internationally criteria used as parameters are not always fully appropriate.
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The existing regulatory measures should be revised and efforts should be made to increase the efficiency of the governments in the region. Reducing regulatory measures and bureaucracy, and increasing efficiency in enforcement of laws and regulations are among the important issues to be discussed. In summary, the view of the private sector is that regulations, when needed, should promote SFM and not reduce the value of forests.
Property Rights, Land Tenure and Permanent Estate Forests Land tenure and, in particular, the absences of well-defined property rights have been the key problems to attract investments in the forest sector in the Latin American/Caribbean region. Indeed, the insecurity of property rights prevents or, at least, reduces private investments in the forest sector and, consequently, in SFM. In fact, resolution of the conflict over land tenure rights and property rights law enforcement are, in most countries in the Latin American/Caribbean region, mainly Bolivia, Guyana, Peru and Suriname, a pre-requisite for achieving SFM. Increased tenure security can be an important element in any strategy to promote SFM in the Latin American/Caribbean region. Other measures can also play an important role as, for example, a variety of tax-related measures may be used as a complement to promote SFM. Alternative land uses may be promoted or discouraged depending on the taxation system. Areas under natural forests could be subject to low land taxes while those used for pasture or agricultural uses could have higher taxes. In addition, easements and conservation agreements could be promoted by granting lower tax rates. Social movements have created pressure over forest lands. Behind the social movements are poverty and in some cases interest of specific groups. In Brazil and also in other countries of the region social movements have made governments create land distribution through an agrarian reform programme. In many cases, forest land has been taken over by land distribution programmes and, in most cases, results are not positive. Forest potential is lost and the lack of technical assistance and support to the new settlers have resulted in failure of the programmes. Forests and land is degraded and the social problems continue. There are cases where land occupation takes place by social movements and forests are degraded, regardless of having a government programme or not. This generates conflicts and the property rights are seldom respected in view of the inability of governments to enforce the laws. Additional comments on this issue is made later in this report when dealing with law enforcement. For most countries the regulatory framework, as it is at the moment, requires quite extensive forest land areas. SFM in small areas are economically and operationally not feasible. In practice that means that none of the small land owners can have their forest estates under production or their operation are considered as illegal, even when proper SFM practices are adopted and forests are protected. Land tenure and property rights are, in fact, a crucial issue in countries where private forest land system predominates for production forests. This is the case of the large majority of tropical countries in the Latin American and Caribbean region. Nevertheless, it is also a problem in countries with public land, such as in Bolivia, where concession holders are responsible, to some extent, for the maintenance of forest estates.
Illegal Activities and Law Enforcement The timber industry has been frequently associated to illegal activities. Along the last few years discussion on illegal logging have gained importance in global discussions. The US Government and the European Community have put in place initiatives to restrict illegal logging. It is said that illegal logging and related trade are a growing problem with negative economic, environmental and social implications, and combating them has become a priority. The main objective of the EU Action Plan for Forest Law Enforcement, Governance and Trade (FLEGT) for example, is to create and to implement a timber licensing scheme through partnerships with producing countries. It is expected that the scheme will secure that only legal timber enters in EU. EU´s strategy considers to take the matter to the WTO. As a result of the work carried out under this project it is clear that the private sector, involved in operations in tropical forests in the region, is not aware about the on-going global discussions. Again it seems that the most important stakeholder has not been involved and this is much to be lost on this approach. Illegal logging definition is not clear and there are evidences that the international debate still has not agreed upon a proper definition for illegal logging. Some organisations, including FAO, have defined illegal logging based on a relatively narrow connotation. Under the definition, illegal logging occurs when timber is harvested in unauthorised ways, in violation of established laws and regulations. The discussion is now on the adoption of a broader definition; involving not logging only but also trade activities (not only logging and related trade as in principle is considered by FLEGT). The broader concept considers that logging and trade activities are associated, inter dependent and both have negative impacts on SFM.
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Under the broader concept, the illegalities would include illegal logging (logging in protected areas, lack of felling permits and other aspects), illegal timber transportation, illegal trade (smuggling timber, trading timber species forbidden by law and other related activities), illegal forest products processing, transfer pricing, illegal accounting practices, financial crimes and corrupt practices (bribing, retaining public information and others). As can be observed, the list is vast and transcends the narrow definition of illegal logging. As a result of the complexity of the issue this matter for sure will remain under discussion for a long time, and it seems to be fundamental to open the discussion and involve the private sector. Regardless of the narrow or broad definition adopted, there is no doubt that illegalities are part of logging and trade activities in the Latin American and Caribbean region. Also, it is clear that the complex regulatory framework has played an important role in increasing illegalities, and many operations considered as illegal in most countries of Latin America and the Caribbean would not be in other parts of the world, such as in the US, where harvesting in private lands is quite deregulated. The private sector considers that besides the complex regulatory framework, government inefficiency and bureaucracy, associated with obtaining all the permits need to operate in the forest sector, is another important factor to increase illegal activities. The long lasting process has high costs, impacts in the production and induces corruption. Illegal operations became a fast track option for a company that needs to generate cash to keep its operations running. In many cases, illegal logging takes place in public lands. In fact, in some countries illegal logging practices are much more frequent in public than in private lands. Public forest lands are basically considered as of free access land, while most private land is respected. Illegal logging also takes place outside public lands, and is quite frequent in small properties. This is quite common in settlement made by land distribution government programmes in forest areas. This problem exists and that remains to be solved. There are options to be discussed for small properties, and a proactive approach from the Government of the region will be necessary. The results of this study demonstrate that the private sector is aware of the problem. The perception of companies is that to compete with supply coming from unsustainable sources is difficult. SFM carries financial and managerial costs and is expected to yield financial results in the long run. There is no doubt that unsustainable illegal activities in “free accessible timberlands” are much more profitable on a short term and therefore legitimate investors are at a great financial disadvantage when forest crime proliferates. Also needs to be considered that to obtain information on illegal practices and their contribution to total production is not an easy task and information available is not precise. In most cases, the information has been built up by NGOs and the private sector does not consider the information reliable. For example, the information on illegal logging in Brazil indicates that over 80% of the timber harvested in the Amazon region is from illegal sources. This information has been static over the last almost 20 years. The private sector considers this can not be the case and that the original figure was not correct, and has been reproduced in publications over the years. On the point of view of the private sector there is clear evidences that changes have taken place along years, and it can not be accepted that all effort made by the national and state government in improving legal framework and law enforcement, and also the work developed by NGOs, did not have some impact on this situation. Control and law enforcement of the illegal activities in the Latin American/Caribbean forests are extremely difficult in view of: i) the vastness of the area; ii) poor infrastructure; and iii) a large number of actors contributing to deforestation. Difficulties of control and law enforcement are being aggravated through institutional and political problems: i) limited presence of governmental institutions; ii) fragmentation and duplication of activities of environmental institutions, which have been frequently observed in Brazil; iii) low political priority given to control of land and forest use; and iv) limited financial resources (Simula, 2002). The assessment made by the consultant corroborates with views of the private sector. There are much more illegal activities related to forest, timber processing and trade than the “classical illegal logging”. In fact, negative economic, social, environmental implications are much more possible associated to illegal activities taking place outside of the forest boundaries than to illegal logging. Despite all these aspects, there are indications that illegal activities associated to the tropical forest industry in the Latin American/Caribbean region have been reduced over the last few years. This was a reflex of adoption of SFM by many countries in the region resulting mostly from international pressure. Private sector attitude is changing rapidly and have interest to cooperate to reduce illegal activities. The general agreement within the private sector is that a review on regulatory framework to improve efficiency, reduce the costs and facilitates law enforcement is important to promote the formal economy and attract investments needed to promote SFM.
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Technical and Scientific Issues Capacity-building and Education for SFM This study points out that the lack of qualified human resources is one of the major constraints to progress towards SFM in the Latin America-Caribbean region. The problem is faced both by the private as well as by the public sector. In any case, in view of the fact that the private sector is the main responsible for the implementation of SFM, the problem is more critical in their case. The lack of trained personnel in the private sector is reflected in all levels, from the management level down to forest workers. The case studies carried out under this project shows that large companies have found ways to partly solve the problem. The alternatives have been the use of external consultants, cooperation arrangements with local and international institutions, in-house training programmes, and the protected forest, but also for the industrial operations, but this results in the adding of costs to the companies’ operations. The problem is not restricted to forest operations. Lack of qualified labour for management and actual operations in timber processing and in trade is a serious constraint for the adoption of new technologies, for adding value, increasing productivity and gaining competitiveness in the market. In fact, due to the priority given to forests and environment issues capacity-building in industrial operations, and also trade, has been left in most cases to second priority. This is a serious mistake as only an efficient industry can transform the existing potential into goods that can be profitably traded in the markets. So the economic sustainability is at risk. The situation varies among countries and within the timber industry. As expected in less developed countries of the region and in smaller companies the problem is very serious. Besides capacity-building to properly managed and operated forests and industry, there is also a lack of educational programmes for local communities living from or close to the forests. There are some important experiences gained in the private sector in relation to this aspect that could be used for replication. The response obtained from the communities on programmes implemented by the private sector has been surpassed expectations. Communities have changed their attitude in relation to the environment, forest and even to the timber industry. The lessons learnt show that with well-designed but relatively simple education programme focusing on forest values can have an important impact with relatively low investments. In practically all countries of the region, Governments have done very little in relation to capacity-building and education of those that work at or are at the forests region. Governments need to adopt a positive agenda and a proactive attitude, and work in cooperation with the private sector, international organisations and NGOs to find ways to facilitate the implementation of SFM.
Research, Development and Information In spite of efforts and quite significant recent achievements, due to the complexity of the tropical forests, there is still quite a lot to be done on the basic and applied research in the Latin American/Caribbean region. In practically all countries, research is still treated as a government property and a few countries in the region have been well-established and have active organisations, with an adequate research and development programme in place. In most countries, research and development is treated as part of projects, frequently financed by international organisations. The subject covered in the projects varies depending on the donor’s priorities, preferences of individuals or other unclear reasons. As a result of this scenario, in spite of investments made and a relatively large number of projects, very little of the research’s results have been used by those actually involved in SFM in production forests (the private sector). Several countries of the Latin American/Caribbean region recognise the need for making changes in their forest research institutions to correct these deficiencies. In spite of the fact that there are countries with a large number of institutions that should and could be involved in R&D, in general, poor management, and lack of cooperation with private sector and other organisations makes scientific production practically absent. This situation together with a lack of a national coordination for R&D leads to duplication of efforts, weak institutions with a limited possibility for developing multidisciplinary research. In most cases, there are no practical results to be offered to the society, and time and financial resources are wasted. In several organisations the practice is “wait for the new project to be financed and start to work” and not “these are the national priorities we need to solve based on our research programme”. In practically all Latin America and the Caribbean tropical countries information on tropical forest resources, timber industry and trade are very limited. When available, they are not precise or updated. Several efforts have been made to improve this situation, including ITTO’s support to projects aimed at putting an information system in place. The problem is that in most cases the work is not continued after the project is completed. It seems having an information system in place is not one of the priorities of local governments.
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The situation is generally chaotic, but of course varies among countries and within the environment and forest sectors. In none of the countries important information, for example, on sustainable timber production is effectively available. Nevertheless, Brazil has precise, constantly updated, information on deforestation, but the data on the number of timber industry in operation, consumption and production of forest products is based on rough estimates. Finally, information in most countries of the region is not accessible to all. There is a strong need to democratise the information. This would help reduce illegal practices, especially corruption.
Priority Given to Plantations The complexity of the regulatory framework and the increasing focus on natural tropical forests has been a driving force to promote plantations, when possible outside the tropical regions (as has happened in Brazil). The private sector’s general perception is that on a medium term natural forests will no longer be accessible for timber production, or the soaring trend to increase regulations will increase the costs to a point where tropical timber be replaced by other timbers or by non-timber products. As a result of this perception and also incentives many Latin America-Caribbean region countries have established plantations, some quite extensive, and the trend is that the planted area will grow fast in the next few years. Not only plantation for timber production is expanding, but also for non-wood products. An example of the fast development of plantation for non-wood products are rubber plantations in Brazil. In spite of the incentives for natural forest rubber, the establishment and investments on the so-called “extrativist reserves” that received a strong support of international organisations and NGOs, over 90% of the present natural rubber production came from outside the Amazon region. By far, the most important production area of rubber is located in the State of São Paulo (south-eastern part of the country. This process is under observation by the private sector in all Latin America and Caribbean countries, and has put under discussion when new investments are to be made. Governments of the region need to pay attention on the evolution of the process, as the private sector, currently the main investor in SFM, might not be willing to continue to operate in natural forests in the future. In spite of the fact that for some this might represent the solution, in most cases of forest areas local communities are largely dependent on the timber industry operations. If timber industry disappears from the region, the government will need to find another economic alternative, as poverty will tend to increase and forest will be rapidly depleted. One alternative might be to combine operations in natural forests with plantation in degraded areas. This has been identified in this project as an alternative under consideration by the private sector. In any case, it seems that there are problems to be solved in the tropics when dealing with plantation. Technology developments on plantations have been concentrated outside the tropics, or at least outside the wet tropical areas.
Trade and Economic Issues Lack of Markets and Market Distortions The finding of this study indicates that trend is that in the Latin America and Caribbean region SFM cost will be most internalised by the private sector. Most governments of the region have little resources to invest and no political will to find alternatives. Thus market is therefore an important component, as it is the only form to ensure the economic sustainability of the companies. Tropical forests are quite variable, with a relatively large number of wood species per unity area, but for many years only a few species were accepted by the market and regularly traded. In some extreme cases, such as in Bolivia in the past a single wood species (mahogany) was responsible for more than 60% of the total exports, and 2 – 3 wood species used to represent around 90%. It was possible to operate with a small number of timber species, in view of their high market prices that could support extremely high harvesting costs. These practices were, no doubt, not sustainable, and in several areas the availability of commercial logs of market species rapidly declined. Thus with the adoption of SFM new species needed to be considered. To increase the number of species allows higher removals, and therefore reduces the harvesting costs. Nevertheless, few LKS are accepted in the market, the introduction of a new species is a long term investment, and their lower price does not compensate the gains obtained by reducing the harvesting costs. Some countries have been more successful than others in terms of species diversification. This is partly related to how aggressive the private sector, but also depends on the investments made (normally by the private sector) and also on logistic problems (mostly dependent on the country). So far efforts made by the government of the region to promote LKS have been very little. Practically all successful stories are based on efforts made by the private sector.
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Some of the goods and services that could help to internalise costs associated with the adoption of SFM are not traded in markets. The general perception of the private sector is that there are small possibilities to have a significant contribution of NWFP, for example, to finance SFM. SFM can produce a number of benefits – biodiversity protection, carbon storage, scenic beauty, watershed protection – but these goods and services are not traded in markets and thus generally are not of interest in operations of the private sector. In short, markets fail to account for these benefits that can derive from SFM, even though the benefits are made available. The only possible option considered by the private is carbon sequestration based on plantations. In any case, management of natural forests is not eligible under the Kyoto Protocol. For the private sector it is clear that timber will, at least for the next ten or more years, be the only substantial source of revenue, and efficiency in the production chain is the only option to internalise additional costs resulting from the adoption of SFM. The dream sold to the private sector that forest certification could be an option for a premium is over. For those in the market is clear that forest certification is a market requirement to access certain markets, and the costs incurred by adopting certification needs to be, just as in the case of SFM, internalised by the private sector. Governments of tropical countries of the Latin American and Caribbean region, and most tropical countries in the world, are taking the necessary steps to ensure markets for timber products. Discussion and decisions in the international fora are largely dominated by consumers (developed countries). Also tropical countries are largely concentrated in the environment agenda, and consider trade as a side issue. On the other hand, in most countries, private sector working with tropical forests are weak, not well-informed and with no capacity to persuade governments to play an active role in the international arena.
Higher Costs and Risks Consumer willingness to pay for green or certified forest products has yet to show up in a widespread fashion in consumer markets. Furthermore, because of the generally longer time periods involved in SFM than in unsustainable harvesting, risks can be considerably higher. Both can lead to lower risk-adjusted profits. Under current market conditions in most countries of the Latin American/Caribbean region, the profitability of SFM is questionable. In general, it seems that “SFM does not pay” for the private sector investments made (Gregersen and Hermosilla). This distortion needs to be considered by local government. In fact incentive to manage forests exists in several developed countries. The incentives are normally associated to social and environmental issues, but at the end it increases the competitiveness of the products in the market. In Latin American and the Caribbean region to manage natural tropical forests is only possible when private sector is prepared to internalise the total costs. The lack of incentives can be associated to limitations in the financial resources of countries of the region, but it is hard to explain how other sector of the economy has incentives in place. Even within the forest sector some countries of the region have in place incentives for forest plantations.
Market Limitation for LKS/LUS The diversity of timber species is a problem in dealing with SFM of natural tropical forests and this creates a market problem. The information presented in the case studies points out that number of timber species that can be harvested varies largely in the region, so the situation is not uniform for all timber companies operating in Latin America and the Caribbean. The lack of a market for less known species (LKS)/ less used species (LUS), has been one of the factors responsible for failure in several forestry investments in the region. In fact the market is very selective in terms of species, and working with a few species means to have low removals per unit area and this increases harvesting costs. Logging a reduced number of species is a constraint not only from the cost point of view, it can also represent a problem in the implementation of forest management plans, if agreed SFM criteria are to be fulfilled. The introduction of new species in the market is a real problem. The solution is not simple, especially when market issues are involved. Changes in market patterns involve several aspects. Market forces are mostly based on the competitiveness of the product in the market, taking into consideration mainly economic-related factors (price, payment terms, delivery, availability, and quality). Introducing a new product in the market is costly, and is a very price sensitive exercise. This means that new species only enter in market if that discount offered encourages the buyer to try a new species.
Government Policies and Trade While the constraints eventually lead to failures or weaknesses in markets, the factors that lead to these problems most often are exacerbated by poor government policies, lack of implementation of good ones, and lack of civil society norms setting standards on the use of a country’s natural resources through public policy.
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The private sector pursues profits, but SFM might not be as attractive as other investment opportunities. There are often easier and safer ways to make comparable profits, both within the forest sector and outside it. Thus, the main policy effort should be to make unsustainable forestry less profitable and to make SFM more financially rewarding. This seems not be a problem in the region, but a global problem. In any case, just making managed forests more attractive than unsustainable sources is not sufficient. Timber is not the only business in the world, and investment will flow to other sectors in case a minimum attractiveness rate is not achieved. This is in fact takes place in some countries of Latin American and the Caribbean region. If the bulk of the private sector dealing with tropical forests starts, for some reason, to review their strategy and reorient investments towards other areas, governments will have more problems to solve in the future. If the private sector is managing to gradually internalise the additional costs resulting from the adoption of SFM, it is fundamental to ensure the economic sustainability of the tropical timber industry. This, in principle, is only possible based on market mechanisms, and thus Government needs to pay more attention on trade-related policies, to develop improved mechanisms to promote tropical timber trade, and be active in international trade discussions.
Lack of Finance to the Private Sector In most countries of the Latin America-Caribbean region, particularly Bolivia, Brazil and Peru, new laws and improvements in law enforcement have contributed to the adoption of SFM, but the economic sustainability of the process continues to be questioned. Since the adoption of the new forest law in some countries, as for example in Bolivia and Peru, the impact of having transferred SFM costs to the private sector, the application of excessively high standards in forest practices right from the beginning, and the creation of several regulatory bodies and uncontrolled bureaucracy is now part of the equation to be solved. In fact, a major problem to be solved to turn forestry activities into a viable business was created. In practice, the new forestry law of Bolivia, instead of supporting SFM, has created new and additional costs for both the private and public sector, and this has been detrimental to forestry activities and to Bolivia as a whole. Industrial activities collapsed after the new law, forest products exports have decreased since 1999 and private sector debts soared. Bolivia is a small economy, but has large forest areas that can be sustainable managed and forestry can play an important role in socio-economic development. The forest sector can play an important role in the country and there is no doubt that the poor performance of forest industry in the recent years has contributed to the growing social problems, and hence also to the political instability of the country. Peru is following the same track, and will also face the same problems in the future if regulatory measures under development at the moment do not take into account the lessons learnt in Bolivia. In principle, Governments need to recognise efforts of many private companies to reach SFM. To make use of the experience gained by the private sector, the actual responsible for the implementation of SFM is a wise approach. The role of the government is to search for cooperation and conciliation among stakeholders, and defend genuine national interests. Also, governments need to be efficient to put in place an efficient low cost legal framework, having in mind that companies need to compete in the international market. It is fundamental to be in line with discussions in the international fora to build up harmonised requirements and ensure market access.
CONCLUSIONS AND RECOMMENDATIONS Based on the finding of this study, based on extensive literature and field research, and also on case studies, the following main conclusions can be drawn:
Legal Framework and Progress Towards SFM All countries of Latin America and the Caribbean have made progress towards the ITTO Year 2000 Objective. In general, countries of the region have developed a national framework of laws, policies and regulations to govern production, conservation and protection forests. Developments in policies and legal framework, as well as implementation, have not been even in the region. In general, countries where economic activities take place in the forest and where the timber industry is active, the development of putting in place policies and a legal framework has been faster than in countries where these activities are less important for the local economy. Efforts to promote SFM at national level has been generally coordinated by governments of respective country of the region, but there are other stakeholders that are contributing to individual country efforts, including international organisations, NGOs, bilateral and multilateral cooperation and the private sector. For several reasons private sector has not been actively involved in the development of the basis for the adoption of SFM, and are not active in the discussion and formulation of national policies on forest and related issues. Although this approach is a normal practice for most governments of the region when dealing with policies, laws and regulatory
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measures (regardless of the sector or subject covered), countries are losing by not considering the experience of the most important stakeholder, the actual responsible for the implementation of SFM. In general, the process involved in formulation of policies and the legal framework in the Latin American and Caribbean region has been largely influenced by the international cooperation and NGOs. In many cases, the process has culminated with the creation of a complex regulatory framework.
Private Sector and SFM Despite the existence of some problems, the private sector in the Latin America-Caribbean region has made a significant progress towards SFM along the last few years. The concept of sustainability has been incorporated by the companies, and their participation in the discussion process, although still incipient and limited by most governments, is increasing. The conclusions of this study indicate that from the point of view of the private sector the main constraints for those wanting to adopt SFM in tropical natural forests can be grouped in: -
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Factors associated to the governments’ responsibility This includes the complex and unstable national legal framework, problems associated to property rights, land tenure and definition of permanent forest estates, weaknesses in law enforcement, lack of human resources and of scientific developments, information and transparency. Factors associated to economic, market and trade issues Under this group the main constraints include market perspectives for LKS/LKU, global trade policies and the increase of market impediments for tropical timbers, competition of plantation timber, internalisation of costs, financing option and costs and benefits sharing for environment benefits.
The main conclusions arising from this study, taking into consideration the private sector perspective is presented below. It can be noticed that in some cases is overlapping between factors associated to the government’s responsibility and to factors associated with economic, market and trade issues. The complexity of the legal framework related to forest management, particularly of natural tropical forests, the generally efficient institutions involved, bureaucracy, the very high standards proposed, coupled with the decentralisation process and lack of human resources, are creating problems in implementation and law enforcement. The final result is a substantial increase in costs. This corroborates to increase illegalities and corruption. As a general rule, governments of the region have small capacity (and/or have other priorities) to invest in SFM promotion. As a result, in practically all countries, additional costs resulting from the adoption of improved practices and to maintain in operation an inefficient monitoring and control system, are now charged to the private sector. In sum, the conclusion based on the findings of this study is that, in fact, the problem is not on lack of policies and legal framework, but on its complexity and difficulties on implementation. The future, from the point of view of the private sector is uncertain. The general perception is that costs of SFM will continue to grow during the coming years, and this is based on the fact that new issues will tend to be incorporated into the concept of sustainability and that further improvements in forest practices and forest protection will be required. Governments of the region have in theory, defined permanent forest estates. Depending on the country, forest states can be mostly (or only) owned by the Government or can be government and private owned. In practice, in most countries property rights (regardless of ownership) are not respected. It seems that illegal logging in government forest lands, due to low capacity of government to secure the tenure, is a much bigger problem than in private lands. The government lands end up being the main source of illegal logs to the timber industry. Private forests property rights are often not respected. It is clear that social pressures coupled with weak law enforcement are problems in most countries to ensure property rights. Also government decisions in allocating private lands to other uses (to accommodate social pressures or for environment reasons) creates a feeling of instability in property rights, and this corroborates to reduce investments of the private sector in SFM. Human resources, at all levels (from management to the field operator) are a constraint in practically all countries of the region. The private sector perception is that this would be under government responsibility. Larger companies have found alternatives but small- and medium-sized companies (the large majority) are suffering. Most capacity-building efforts have been concentrated in forest management. In this area, international cooperation has been important. In spite of achievements made the private sector’s conclusion is that this is not sufficient. The conclusion is based on the fact that a well-managed forest will not survive if the economic sustainability is not ensured, and to achieve it, it is necessary to improve management and operations all over the chain, from the forest to the market.
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Scientific developments on management of natural forests have been made in several countries but there is much more to be done, and governments of the region have invested very little on this. Again international organisations have contributed, but this is not working efficiently, as country priorities are sometimes not in line with donors, and also the project-based approach has, in many cases, no sustainability. Research development is a problem, but in fact the main problem seems to be associated with transference to private sector, the main actor in implementing SFM at the field level. The findings of this study clearly indicate that the private sector is the main responsible for financing SFM in the region. There are no incentives or financial mechanisms available to support investments and share costs related to the adoption of SFM. As most of companies dealing with tropical natural forests are small this has limited the adoption of good practices and full compliance of extensive and complex legal requirements. In practice, this has contributed to unsustainable, and in a majority of the operations can be theoretically (under the current legal framework) classified as illegal, in spite of the efforts made to gradually improve forest practices. Under this perspective there are serious questions regarding the future of most companies operating in natural tropical forests in the Latin American and Caribbean region. Growing market impediments and initiatives such as EU FLEGT will tend to reduce international market options for small- and medium-sized companies (the vast majority). To have small- and medium-sized companies out of business will certainly not solve the problem. Illegalities need to be focussed from a broader perspective, and the fact that full compliance of legal requirements related to forest operations is not met, is most probably not the main problem. Larger companies have been able to find alternatives to internalise the additional costs. These companies are using own funds and resources to increase productivity and, through the market, ensure the needed financial resources. The uses of less known/used species (LKS/LUS) and the value adding are the main issues considered by the private sector in their strategy to internalise costs related to the adoption of SFM. By increasing the number of timber species, harvesting costs and pressure over precious/traditional timber species are reduced. Adding value is the option to introduce and make feasible the introduction of new species in the market. Private sector efforts to introduce new timber species and add value have examples of success, and it needs to be recognized that costs are high and changes take a long time. Where, the private sector of the Latin American and Caribbean region is concerned, not only governments are becoming convinced that they are the main (if not the only) economic agent capable to internalising additional costs related to the adoption of SFM. This means that priority needs to be given to the economic sustainability of the operations. This is a pre condition to meet agreed upon environmental and social criteria. All the aspects previously discussed are highly relevant, and their impact on economic sustainability of operations varies among countries, local conditions and the company. In spite of the fact that the future of SFM will continue to be highly influenced by the private sector’s capacity to invest, there are intra and inter sectoral factors that are largely dependent on governments. Among the most relevant strategic actions that governments need to consider in order to create proper conditions to facilitate SFM adoption are: •
•
Creation of a stable and clear investment environment Forestry activities are only sustainable if long-term investments are envisaged. Particularly, in the Latin American/Caribbean region, guarantees of access to the forest resource (including aspects related to permanent forest estates, property rights and land tenure) are among the most important instruments for attracting private investments for SFM. A stable legal framework, and specially law enforcement, is also of particular interest to improve investment environment. Moreover, economical, political and legal stability and transparency is required. Reduction of transaction costs Operations in the forest sector, particularly in the tropical timber business are becoming very expensive in most countries of the region. This is reducing profits and investments, and the economic sustainability has been questioned. Governments of the region need to search for alternatives, and find out ways improve the efficiency of the regulatory framework and bureaucracy can be the simplest at the moment, but a very valuable contribution in most countries. There are other transaction costs in the countries of the region, common to all business, that could be considered by governments in their efforts to make the country as a whole more competitive.
On another level, several other initiatives could be taken by the public sector to encourage private investments in SFM of tropical forests in the Latin American/Caribbean region.
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One possibility to be considered is the design of incentive mechanisms to facilitate the adoption of SFM and increase the competitiveness of the private sector. The mechanisms should be designed to catalyse and accelerate the process of adoption of improved forest practices, and could even be considered within the concept of public-private sector partnership-PPP, a mechanism now under discussion for other sectors of the economy in several countries. Besides acting at national level governments of the Latin American and Caribbean region will need to have a concerted effort in their participation in international fora. In dealing with tropical forests and tropical timber production and trade this should preferably be done in coordination with other tropical timber producing countries. There are clear indications, based on continuous discussions in international fora, that new market barriers and impediments will be proposed. Finally, it is of outstanding importance that governments consider all stakeholders, particularly the private sector, in defining a long-term strategy and an action plan aiming at defending the countries’ genuine interests and promoting the adoption of SFM. Experience and financial capacity of the private sector cannot be neglected.
RESUME ANALYTIQUE INTRODUCTION Le projet PD 48/99 Rev.1 (M,F) “Partage d’informations et d’expériences sur les réussites du secteur privé en matière d’aménagement forestier durable” a été conçu conformément à l’Objectif 2000 défini par le Conseil international des bois tropicaux (OIBT) à sa 29ème session. Le projet découle de la nécessité pressante de rassembler, compiler et analyser l’ensemble des informations sur les expériences d’aménagement forestier durable (AFD) en vue de promouvoir les “meilleures pratiques” dans le secteur privé des pays producteurs de bois tropicaux. Le projet vise à définir un mécanisme pour étudier et diffuser l’information sur des cas de réussites d’AFD au niveau des entreprises. Le projet PD 48/99 Rev.1 (M,F) s’applique à l’échelle mondiale. Il couvre les pays producteurs de l’OIBT, regroupés dans trois régions principales: Afrique, Asie, et Amérique latine/Caraïbes. Le présent rapport concerne la région d’Amérique latine-Caraïbes seulement.
CONCEPTS DE DÉVELOPPEMENT DURABLE ET D’AFD Définitions Et Dimensions Dans La Région D’amérique Latine-Caraïbes Au cours des deux ou trois décennies passées, divers définitions ou concepts d'AFD ont été développés. L'OIBT a défini l'AFD comme suit: "L'aménagement forestier durable est l’aménagement de forêts en vue d’objectifs bien définis concernant la production soutenue de biens et de services désirés, sans porter atteinte à leur valeur intrinsèque ni compromettre leur productivité future, et sans susciter d’effets indésirables sur l'environnement physique et social.” Lorsque le concept d'AFD en général fait l’objet d’un débat, les différentes parties sont dans l’ensemble d'accord. Toutefois, lorsqu’il s’agit de situations spécifiques, le niveau de désaccord entre les parties monte, en raison de la diversité de leurs objectifs et interprétations lorsqu’elles évaluent la gamme de tout ce qu’elles attendent des forêts, par exemple: i) conservation de la biodiversité; ii) maintien de la productivité économique; iii) respect de l’équité entre générations; iv) responsabilité vis-à-vis des besoins sociaux et culturels; v) protection des cours d'eau et des sols vi) sauvegarde des valeurs indigènes et des communautés rurales; vii) possibilités de loisirs; viii) préservation des valeurs existantes; ix) valeurs des paysages; et x) autres aspects. Les systèmes d'exploitation forestière sélective dominent encore parmi les pratiques de gestion forestière dans la région d'Amérique latine/Caraïbes, et sont en général fondés sur un ensemble de critères tels que la sélection des espèces et/ou l'application du diamètre minimal d’abattage. Bien que l’aménagement des forêts soit un concept reconnu dans le monde entier, la mesure dans laquelle il est mis en œuvre varie considérablement et est souvent très faible. Certaines des principales raisons de la lenteur des progrès vers l'adoption de l'AFD sont imputables aux facteurs suivants: i.
L'extrême prudence des gouvernements à l’égard d’une conception très nouvelle de la gestion des forêts, qui les engage à long terme sans possibilité de se reporter à des résultats précédents ayant fait leur preuve; ii. Le manque d'enthousiasme de beaucoup d’entreprises, qui elles non plus ne voient aucune raison de modifier leurs pratiques d'exploitation forestière sans garanties;
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iii. L’insuffisance de connaissances techniques de la régénération naturelle, qui a mené à de fortes restrictions du point de vue sylvicole; iv. La lourdeur et la rigidité des contraintes imposées en matière de prélèvements (nombre d'espèces à récolter, courte durée des opérations de récolte, opérations sylvicoles exigées, etc.); ce qui peut à la longue compromettre la viabilité financière de l’entreprise; v. L'émergence de problèmes sociaux provoqués par la colonisation souvent illégale des espaces forestiers; vi. Marchés peu développés pour le bois et les produits transformés à partir d'espèces secondaires ou moins connues (EMC); vii. Droits de propriété non définis et changements dans les "règles du jeu" par une législation nouvelle ou mise à jour; viii. Difficultés liées à la détermination des coûts et bénéfices globaux de la gestion forestière.
Critères Et Indicateurs De L’afd Et Initiatives De Certification/Éco-Étiquetage Les critères et indicateurs fournissent des moyens pour mesurer, surveiller et mettre en relief les progrès vers la réalisation de la durabilité de l’aménagement des forêts dans un pays donné ou dans un secteur de forêt particulier au cours d’une période donnée. Les critères et indicateurs de l’AFD qui s’appliquent le mieux à la région d’Amérique latineCaraïbes sont: i) ceux du Traité de coopération amazonien (procédé de Tarapoto pour l’élaboration de critères et indicateurs de la durabilité des forêts); ii) ceux du Processus de Lepaterique pour l’Amérique centrale; iii) les Critères de mesure de l’aménagement durable des forêts tropicales, définis par l’OIBT; et iv) ceux du Centre pour la recherche forestière internationale (CIFOR). La certification des forêts est un instrument utilisé pour confirmer que certaines normes minimales prédéfinies de gestion forestière ont été atteintes dans une forêt donnée à un moment donné. Le régime du FSC est un des systèmes reconnus de certification des forêts tropicales. Dans la région d’Amérique latine/Caraïbes, le FSC est le seul système de certification qui ait été adopté pour de vastes étendues de forêt, mais de nouvelles initiatives gagnent du terrain, telle que CERFLOR au Brésil. Dans d’autres pays du monde, d’autres systèmes de certification appropriés ont été adoptés, comme par exemple PEFC en Europe, et Sustainable Forestry Initiative aux Etats-Unis d’Amérique.
Système de certification du FSC Le FSC a été créé en 1993 dans l’intention de soutenir l’aménagement respectueux de l’environnement, socialement bénéfique et économiquement viable des forêts de la planète. Le FSC encourage et soutient les initiatives nationales et régionales conformes à sa mission. L’objectif du Programme d’initiatives nationales du FSC est de décentraliser le travail du FSC et d’encourager la participation locale. Dans la région d’Amérique latine/Caraïbes, des initiatives nationales du FSC ont été entreprises en Argentine, en Bolivie, au Brésil, en Colombie, en Equateur et au Pérou. Depuis 1993, l’ensemble des superficies de forêts certifiées par le FSC (y compris forêts naturelles et plantées) s’est élargi, passant de légèrement plus de 0,5 millions d’ha à plus de 40 millions d’ha en 2003. Si une superficie de 40 millions d’ha est impressionnante, il n’en reste pas moins que, mise dans le contexte mondial, la superficie forestière certifiée par le FSC ne représente que 1% de la couverture forestière de la planète (3.869 millions d’ha). L’étendue des forêts certifiées par le FSC dans les pays producteurs OIBT de la région d’Amérique latine-Caraïbes atteint environ 2,9 millions d’ha, soit 7,3% de la superficie totale certifiée par le FSC dans le monde entier. Notamment, dans les pays producteurs de l’OIBT en Amérique latine/Caraïbes, les forêts naturelles certifiées par le FSC représentent environ 67% de toutes les superficies certifiées, les forêts plantées comptant pour 32%, et les forêts mélangées (plantées et naturelles) 1%. Les superficies de forêts certifiées dans la région par le FSC représentent moins de 0,4% de la superficie totale des forêts des pays de la région d’Amérique latine/Caraïbes.
Système de certification CERFLOR Le système brésilien de certification forestière (CERFLOR) a débuté vers la fin des années 80, mais il s’est lentement développé au cours des années passées. Ce système est maintenant opérationnel pour des plantations forestières, et la première unité de gestion a été certifiée début 2003. On s’attend à ce que la mise au point du système CERFLOR, de manière à couvrir les forêts tropicales naturelles, sera achevée en 2004. La superficie forestière certifiée par CERFLOR se monte à 50.000 ha. Actuellement, une superficie totale d’environ 165.000 ha est soumise au processus de certification par CERFLOR, et ce processus sera probablement achevé vers la fin du premier semestre de 2004. Plusieurs initiatives internationales sont en cours en vue de permettre la reconnaissance mutuelle de différents régimes de certification internationaux et nationaux, y compris CERFLOR. Par exemple, la Table ronde internationale
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sur les industries forestières (IFIR) a entrepris la tâche d’établir des règles générales pour le processus de reconnaissance mutuelle. Récemment, CERFLOR a adhéré au PEFC. Cette adhésion et les modifications apportées au système faciliteront la reconnaissance internationale de CERFLOR.
SITUATION REGIONALE DE LA FORESTERIE Couverture Forestiere Les pays producteurs de l’OIBT dans la région d’Amérique latine-Caraïbes ont une superficie totale d’environ 1.225 milliards d’ha, dont un peu plus de 66% (807 millions d’ha) couverts de forêts tropicales. La superficie couverte de forêts tropicales dans la région d’Amérique latine-Caraïbes représente 21% de la superficie totale couverte de forêts dans le monde. La forêt amazonienne représente la plus grande concentration de forêts tropicales de la planète. Les secteurs de plantations forestières dans les pays producteurs OIBT de la région d’Amérique latine-Caraïbes sont relativement peu étendus (7,1 millions d’ha), ne contribuant que 4% à l’ensemble du secteur de plantations du monde. Les zones de plantations forestières de la région se trouvent principalement au Brésil (70%).
Production De Grumes Tropicales La production annuelle globale de grumes tropicales par les pays producteurs OIBT dans la région d’Amérique latineCaraïbes représente environ 30% de la production mondiale. La production de grumes tropicales dans la région d’Amérique latine-Caraïbes se situait aux alentours de 35,9 millions de m3 en 2002, principalement utilisés localement pour le sciage.
Le Déboisement Et Ses Causes Au cours des deux dernières décennies, la région d’Amérique latine-Caraïbes a été touchée par la dégradation des forêts et le déboisement. On estime que dans les pays producteurs OIBT de la région d’Amérique latine/Caraïbes, le changement annuel du couvert forestier (déforestation) est de l’ordre de -3,5 millions d’ha par an. Le Guatemala, le Panama et l’Equateur ont les taux de déboisement annuels les plus élevés. La cause première du déboisement dans la région d’Amérique latine-Caraïbes est essentiellement associée à l’expansion de l’agriculture et des pâturages permanents. Certains autres aspects peuvent être considérés comme faisant partie du problème du déboisement dans la région, par exemple: i) les règlements concernant la jouissance des terres; ii) l’exploitation du bois; iii) la construction d’infrastructures telles que des routes. Les effets du déboisement, de la dégradation des forêts et des feux de forêt entraînent une perte permanente de la capacité potentielle des ressources forestières de produire des avantages économiques. Ces impacts sont plus graves dans certains pays que dans d’autres. La plupart des pays des Caraïbes ont épuisé leurs ressources forestières à un point tel qu’ils doivent maintenant importer des produits forestiers, créant un besoin additionnel de devises. Dans les pays possédant d’énormes ressources forestières, comme le Brésil, le Pérou et la Bolivie, le déboisement a eu moins d’impact global, bien qu’au niveau local cet impact puisse être significatif.
Aires Sous Protection Les pays producteurs OIBT de la région d’Amérique latine-Caraïbes ont reconnu l’importance environnementale de leurs forêts en créant des aires protégées essentiellement sous forme de: i) parcs nationaux et zones de loisir; ii) forêts et réserves biologiques; iii) aires pour la protection de l’environnement; iv) réserves indigènes; v) zones écologiques; vi) réserves naturelles; vii) monuments nationaux; et viii) autres. On estime que la superficie sous protection dans les pays producteurs OIBT d’Amérique latine-Caraïbes se monte à environ 172 millions d’ha, ce qui représente approximativement 14% de la superficie totale de la région. Malgré l’étendue des zones forestières sous protection dans la région d’Amérique latine/Caraïbes, il convient de mentionner que de nombreuses aires protégées ne l’ont pas été dans le cadre d’un processus de planification générale. Certaines parties des aires protégées dans beaucoup de pays de la région sont sujettes à de graves déficiences administratives qui se traduisent par des problèmes tels que des prélèvements illégaux de bois et l’occupation illégale de ces zones, entre autres.
Participation Du Secteur Prive A L’afd Il n’ya aucun doute que le secteur privé est le principal investisseur en faveur de l’AFD dans la région d’Amérique latine/Caraïbes, mais les gouvernements ont un rôle à jouer en vue d’attirer davantage de fonds privés pour améliorer les pratiques forestières. Il est admis que les fonds publics octroyés par les organismes intérieurs, notamment dans les
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pays en développement, même s’ils s’ajoutent à des ressources mises à disposition par le biais de la coopération internationale, ne suffisent pas pour aider le secteur privé à mettre en oeuvre l’AFD. Bien que les gouvernements et le secteur privé se soient accordés sur plusieurs normes pour la mise en oeuvre de l’AFD, il semble que la plupart des gouvernements aient sous-estimé les fonds nouveaux et additionnels nécessaires pour mettre en oeuvre l’AFD, laissant au secteur privé la tâche de trouver des sources nouvelles et additionnelles de fonds pour financer l’AFD. En outre, il est maintenant également demandé au secteur privé de soutenir les dépenses croissantes du gouvernement résultant de réglementations excessives et de l’expansion de l’Etat. Le secteur privé dans la région d’Amérique latine-Caraïbes finit par payer deux fois plus. Le secteur privé n’étant pas disposé à payer la totalité des frais (ou n’en ayant pas les moyens), il en résulte moins d’argent pour mettre en oeuvre l’AFD et la croissance d’une activité parallèle (exploitation forestière illégale). Les fonds nécessaires à des fins de contrôle et de surveillance augmentent et le secteur privé en a eu moins à consacrer à l’exécution de l’AFD au niveau du terrain.
Politique Et Législation Forestieres Relatives A L’afd Un grand nombre de gouvernements dans le monde entier ont entrepris des actions pour orienter leurs politiques forestières nationales vers la conservation et l’aménagement durable de leurs ressources forestières. La plupart des pays de la région d’Amérique latine-Caraïbes ont formulé, explicitement ou implicitement dans leurs législations, des politiques qui témoignent de leur souci de maintenir leurs ressources forestières. A cet égard, il convient de noter que beaucoup de pays n’ont pas entièrement mis au point de politiques et de législations forestières. Les mesures interdisant ou limitant la conversion des terres forestières, les incitations au boisement et à la gestion des forêts naturelles, la création et le maintien de grands espaces sauvages protégés, la promulgation de diverses normes légales visant à protéger ou réglementer l’utilisation des ressources, le renforcement de programmes de prévention des incendies, les études sur les indicateurs d’aménagement durable et la certification des forêts, et la formulation des programmes forestiers nationaux, entre autres, sont presque des dénominateurs communs dans les politiques forestières de la plupart des pays de la région d’Amérique latine-Caraïbes. Un autre élément important des politiques forestières dans la région d’Amérique latine-Caraïbes est la participation croissante à leur formulation de multiples groupes d’intérêt, y compris les institutions non gouvernementales, les groupes ethniques, les communautés rurales, les groupes écologistes, les organisations internationales, et d’autres. Cette évolution est survenue en réponse à l’intérêt croissant de la société pour les forêts et l’utilisation des ressources naturelles et pour tous les avantages environnementaux liés aux forêts. En conséquence, les sujets tels que la rémunération des services qu’offre l’environnement, le piégeage du carbone, et autres, qui dépassent de loin la compétence des acteurs traditionnels du secteur forestier, prennent de plus en plus d’importance.
Incitations Et Mécanismes Pour Le Financement De L’afd Pour certains pays de la région d’Amérique latine/Caraïbes, les incitations et les mécanismes de financement pour la création de plantations forestières constituent un problème pratiquement résolu. En revanche, il n’existe aucune incitation ni aucun mécanisme de financement disponible dans la région pour la gestion des forêts naturelles. Bien que plusieurs problèmes empêchent et continueront d’empêcher le secteur privé d’investir dans l’AFD de forêts tropicales, la plupart des apports de ressources financières destinées à l’AFD proviennent à l’heure actuelle de sources privées. La solution exige la coordination entre toutes les parties prenantes (gouvernements, coopération internationale, secteur privé, et société civile). Il faut reconnaître que le secteur privé joue déjà un rôle important dans le financement de l’AFD, mais il ne peut faire plus. Il n’y a pas de solution simple mais le principe fondamental est clair: si le secteur privé doit accroître sa contribution au financement de l’AFD, les gouvernements et les autres parties prenantes doivent créer le climat nécessaire pour l’investissement. Des investissements sont nécessaires pour améliorer la performance et la compétitivité sur le marché. Le marché est en définitive la source principale de fonds pour financer l’AFD. Il faut prévoir des incitations pour catalyser l’adoption et renforcer la performance de l’AFD mais, pour soutenir ce processus, d’autres conditions doivent être réunies. Ces autres conditions comprennent, entre autres: des règlements appropriés, stables et transparents, la stabilité économique et politique, la garantie de l’accès aux ressources forestières et aux marchés.
RÉSULTATS DU PROJET Le projet a été mis à exécution en trois étapes: i) Questionnaire Q500; ii) Questionnaire Q20; et iii) rapport régional final.
Premier Questionnaire – Étape Q500 La première étape a consisté en une enquête sur l’AFD au niveau des entreprises, qui visait à obtenir 150 réponses au questionnaire Q500 dans les pays membres producteurs OIBT de la région d’Amérique latine/Caraïbes.
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Le tableau 1 présente le nombre total de questionnaires (Questionnaire Q500) envoyés dans les pays d’Amérique latine-Caraïbes et le nombre de réponses reçues. Au total, 852 questionnaires ont été envoyés aux entreprises des pays mentionnés, auxquels 69 ont répondu, réponse relativement faible compte tenu de tous les efforts qui ont été faits. Un sondage auprès des entreprises a permis d’identifier certaines raisons qui peuvent expliquer ce faible taux de réponse au questionnaire Q500. Ces raisons comprennent: i) le plus petit nombre d’entreprises actives, en particulier dans les pays relativement petits tels que ceux d’Amérique centrale; ii) la longueur du questionnaire (6 pages), et en particulier le nombre de questions; iii) la difficulté de remplir le questionnaire en format électronique (Excel) à cause de problèmes d’accès aux fichiers d’information; iv) l’absence, dans l’entreprise, de personnel technique capable de répondre au questionnaire; v) la non-existence, dans les entreprises, d’informations pouvant être communiquées rapidement; vi) la méfiance de certaines entreprises soupçonnant une inspection basée sur l’information contenue dans le questionnaire par les organismes pertinents gouvernementaux/non gouvernementaux; et vii) le manque d’intérêt des entreprises pour le sujet traité. Tableau 1. Réponses au Q500 obtenues des pays membres producteurs OIBT dans la région d’Amérique latineCaraïbes Pays
Total des entreprises Nombre de réponses % de réponses contactées obtenues obtenues
BRÉSIL BOLIVIE COLOMBIE EQUATEUR GUATEMALA GUYANA HONDURAS PANAMA PÉROU SURINAME TRININTE-ET-TOBAGO VENEZUELA
232 67 101 59 89 10 52 6 156 9 25 46
40 7 5 6 1 1 2 2 3 2
17 10 5 10 1 10 4 33 2 0 0 4
TOTAL
852
69
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Quoi qu’il en soit, l’analyse des questionnaires retournés a indiqué que les réponses étaient d’assez bonne qualité. Pratiquement 80% des questionnaires Q500 remplis répondaient à la presque totalité des questions, tandis que 20% ne répondaient pas à un certain nombre de questions, bien que suffisamment pour couvrir les besoins du projet. Il est important de noter que cinq autres questionnaires Q500 ont été retournés, mais qu’ils n’ont pas été pris en compte du fait que les opérations des entreprises étaient considérées hors de la portée du projet. Sur la base des réponses au questionnaire Q500 obtenues, il est possible de faire les commentaires suivants: •
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Type d’entreprises: sur les 69 entreprises, 97% sont des entreprises privées, la plupart d’entre elles des petites et moyennes entreprises. Les autres sont des co-entreprises entre le gouvernement et des entrepreneurs privés. Aucune entreprise étatique n’a été identifiée. Intégration des activités: dans 91% des entreprises ayant répondu, le secteur forestier (privé ou concession) est intégré au secteur industriel. Cependant, ces données ne peuvent pas être généralisées pour toute la région d’Amérique latine/Caraïbes. Certaines particularités doivent être prises en considération. Cela signifie que l’AFD des forêts tropicales dans la région d’Amérique latine-Caraïbes a surtout été pratiquée par les entreprises de bois à intégration verticale (forêt + industrie + commerce). Les entreprises du bois dans la région d’Amérique latine-Caraïbes ne sont pas en majorité intégrées, du fait que la plupart d’entre elles sont de petite échelle et faiblement capitalisées. Gestion forestière: 94% des entreprises examinées ont mis en place un plan de gestion forestière. Néanmoins, 54% seulement des plans de gestion sont conformes aux directives de l’OIBT pour “l’aménagement durable des forêts tropicales naturelles” et pour la “conservation de la diversité biologique dans les forêts tropicales de production”. Il est important de mentionner que 41% des entreprises interrogées ne sont pas au courant des directives de l’OIBT. D’après les résultats du questionnaire Q500, les principaux systèmes de gestion pratiqués par les entreprises sont le système “sélectif” à raison de 65%, les “coupes progressives” (42%), les “coupes rases” (12%), et des systèmes “ad hoc” (9%).
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Exploitation forestière: la plupart des entreprises de la région d’Amérique latine-Caraïbes procèdent aux coupes sur la base de plans de récolte (83%). Le seul moyen de récolte est “le traînage au tracteur”. Il est également évident que la plupart des entreprises forestières qui appliquent des plans de récolte appliquent aussi les pratiques d’exploitation à faible impact (EFI). Conservation de la biodiversité: 43% des entreprises examinées comptent certaines espèces menacées dans leurs zones de forêt. De plus, dans 87% des cas, la chasse est interdite (ce qui contribue d’une manière ou d’une autre à la conservation d’espèces menacées). En outre, 70% des entreprises examinées ont réservé des aires à des fins de conservation ou de protection. Utilisation des produits forestiers non ligneux (PFNL): 20% seulement des entreprises examinées produisent des PFNL, surtout des plantes médicinales, des fruits et des noix. Bien que moins importants que le bois, les PFNL occupent une place non négligeable dans le marché des produits forestiers dans certains pays, comme en Bolivie (noix du Brésil). Loisirs et écotourisme: la plupart des entreprises examinées (64%) fournissent des services forestiers de ce type. Les plus importants des services forestiers fournis par les entreprises sont la conservation, la protection, l’éducation et les refuges de faune. Moins d’importance est accordée aux loisirs et au piégeage du carbone. Aspects sociaux: la plupart des entreprises forestières examinées prévoient des avantages sociaux pour leurs employés ainsi que pour la communauté intéressée. Le plus courant est le logement à raison de 70%. Puis viennent les services de santé (62%), l’eau (49%), l’électricité (43%), et l’éducation (28%). Produits ligneux: plus de la moitié des entreprises examinées (56%) produisent des sciages. Le contreplaqué est également un produit important fabriqué dans la région (31%). Malgré l’intérêt général que suscitent les produits ligneux de transformation secondaire (planchers, moulurés, meubles, et autres), 23% seulement des entreprises interrogées en produisent. Sécurité et respect des lois: 81% des entreprises n’ont pas été impliqués dans des procès liés à des infractions aux lois forestières ces dernières années. C’est un fait attribuable au ferme engagement de ces entreprises de respecter la loi forestière en vigueur dans leur pays et, par conséquent, d’adopter les mécanismes de l’AFD. Recherche et développement (R&D): parmi les entreprises interrogées, 51% procèdent à certaines activités de R&D. Dans la région, la coopération internationale a joué un rôle important dans la recherche forestière. Il est admis que, sans la coopération de pays développés et d’institutions internationales, les progrès de l’aménagement durable des forêts tropicales seraient très lents et la réalisation de l’AFD lointaine. C’est un fait qui saute aux yeux quand on analyse les données de recherche, car 57% des projets de R&D exécutés par les entreprises sont financés de l’extérieur. Certification: 19%seulement des entreprises interrogées possèdent une forêt certifiée, tandis que 78% n’ont aucun type de certification. Les résultats de l’enquête font ressortir des signes d’amélioration dans ce domaine. Environ 62% des entreprises interrogées n’ayant pas de forêt certifiée envisagent de faire dans un proche avenir les démarches nécessaires pour obtenir une certification forestière.
Second Questionnaire – Etape Q20 Sur la base de l’analyse du questionnaire Q500 et des critères par le projet, neuf entreprises ont été choisies pour l’évaluation de la seconde étape. Sur ces neuf entreprises, quatre sont au Brésil, trois en Bolivie, une en Colombie et une en Equateur. Un questionnaire Q20 a été envoyé à chaque entreprise sélectionnée. L’analyse des données rassemblées par le questionnaire Q20 a indiqué une haute qualité des réponses. Les questionnaires Q20 ont été pour la plupart remplis par le consultant régional, en coopération avec les représentants des entreprises sélectionnées. Pratiquement tous les questionnaires Q20 remplis répondaient à presque toutes les questions posées. Parmi les entreprises qui réussissent à mettre en oeuvre l’AFD du point de vue financier, commercial et des résultats environnementaux, et compte tenu également des critères de sélection spécifiques, les entreprises suivantes ont été sélectionnées pour les études de cas: • • • •
Empresa Agroindustrial LA CHONTA Ltda; GUAVIRA Industrial e Agroflorestal Ltda; ORSA Florestal SA; CIKEL Brasil Verde SA .
Troisieme Etape – Etudes De Cas La troisième étape, études de cas, a consisté à préparer des études de cas. La présente section fait un bref compte rendu des cas sélectionnés.
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La Chonta La Chonta est une entreprise privée bolivienne. Elle gère 220.000 ha de forêts tropicales, répartis en deux concessions (terres forestières appartenant au gouvernement) situées dans les districts de Guarayos et Bajo Paragua, dans la région centre occidentale de Bolivie. L’entreprise emploie 350 personnes et son revenu annuel se monte au total à environ 4 millions de dollars EU. Après 1997, prenant en considération la nouvelle loi bolivienne sur les forêts, l’entreprise a décidé d’adopter une nouvelle approche et a commencé à gérer la concession de manière durable. De nos jours, les deux concessions forestières de La Chonta sont certifiées par le FSC. Pour améliorer les pratiques forestières et adopter l’AFD, La Chonta a dû augmenter le nombre d’espèces d’arbres prélevées et, par conséquent, n’a pas été en mesure de récolter des volumes plus élevés par unité de superficie. Dans le passé, les opérations de l’entreprise étaient fondées sur un petit nombre d’espèces de valeur et les prélèvements se situaient normalement à moins de 1 m3/ha, ce qui n’était possible que grâce au niveau élevé du prix marchand desdites espèces de valeur (l’acajou, par exemple). Vu l’adoption de meilleurs pratiques forestière, il était impératif d’accroître les volumes prélevés, non seulement pour atténuer la pression sur les espèces précieuses de bois, mais aussi pour permettre d’internaliser les coûts nouveaux et additionnels entraînés par l’adoption de meilleures pratiques forestières. A l’heure actuelle, l’entreprise récolte entre 3 et 8 m3/ha. C’est encore un volume relativement faible comparé à celui des opérations dans d’autres pays de la région, comme par exemple au Brésil. Sans aucun doute, l’augmentation du volume prélevé a réduit les coûts de la récolte, mais elle a donné lieu à un autre problème: bon nombre des nouvelles espèces de bois récoltées ne sont pas connues sur le marché international et, lorsqu’elles sont acceptées, elles sont de faible valeur marchande. La Chonta a fait face à des périodes difficiles, étant donné que dans beaucoup de cas les coûts de production, surtout de caractère logistique entraînant des coûts élevés de transport vers les principaux marchés de consommation, représentent un facteur très limitatif pour des bois sans tradition sur le marché (EMC). Le marché intérieur pourrait en principe offrir une solution mais, comme on peut s’en doute, ce marché est trop petit pour absorber les volumes. La Chonta possède deux scieries, toutes deux situées à proximité de ses concessions (La Chonta et Lago Rey). Une partie de la production est commercialisée en vrac, tandis que les meilleures catégories sont transformées en produits à valeur ajoutée. La capacité de production de l’installation d’usinage est de quelque 2.000 m3/an de produits finis (portes, moulurés et plancher). Annuellement, 20.000 portes environ sont produites. La filière de responsabilité est également certifiée par le FSC. Les activités de transformation du bois ont été fortement touchées lorsque l’AFD a été adopté. Les connaissances acquises dans la transformation des espèces de bois traditionnelles, comme mara (acajou), roble et cedro, n’étaient plus valables lorsque les EMC sont entrées dans la production. La valeur marchande élevée des espèces traditionnellement commercialisées et largement admises sur le marché, a contribué au bas rendement dans la chaîne des valeurs. L’adoption de l’AFD et l’introduction des EMC ont entraîné la nécessité de plusieurs actions en vue d’améliorer le rendement à l’usine, parmi lesquelles plusieurs investissements pour développer de nouveaux procédés et produits ainsi que des investissements en matériel de transformation. La leçon qu’en a tirée La Chonta c’est qu’il est fondamental d’introduire les EMC lorsque l’on adopte l’AFD. La transformation des EMC exige un élargissement de l’échelle de la production (à commencer dès la forêt) et l’adoption de meilleures techniques de transformation afin de réduire les coûts de production et relever la valeur des produits. Elle a également appris que les EMC ont une valeur marchande inférieure, bien au-dessous de celle des espèces de bois traditionnelles, et que leurs prix sont très peu susceptibles d’augmenter au cours des ans. Ainsi, sans réduction des coûts et valeur ajoutée, il n’est pas possible de rentabiliser les opérations, ce qui est nécessaire pour améliorer les pratiques forestières. Par ailleurs, les leçons apprises par La Chonta opérant en Bolivie indiquent qu’une orientation et un cadre juridique adéquats, en ce qui concerne notamment le respect des lois, jouent un rôle important dans la promotion de l’AFD. Toutefois, le secteur privé bolivien a fini par payer la totalité des coûts de l’adoption de l’AFD, puisque le gouvernement n’a aucun instrument économique ou autre mécanisme qui encouragerait effectivement l’adoption de l’AFD. On pouvait espérer que le marché permettrait de compenser les coûts additionnels, mais le bois issu d’une production durable, même si elle est certifiée, ne peut se vendre au prix fort. Les changements exigent plus que de la bonne volonté. De nouveaux investissements dans l’ensemble de la chaîne des valeurs sont nécessaires. C’est ce qui a énormément freiné les opérations de La Chonta car, en Bolivie, les sources financières pour des investissements directs dans l’industrie du bois sont extrêmement limitées et, si elles sont disponibles, leurs coûts sont prohibitifs.
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Guavirá Guavirá Industrial e Agroflorestal Ltda. est une entreprise brésilienne privée. Elle est totalement intégrée et couvre les opérations forestières, les récoltes, la fabrication (installations de transformation primaire et secondaire) et la commercialisation. Aux opérations participent environ 250 personnes et son chiffre d’affaires annuel se monte à environ 7 millions de dollars des Etats-Unis ($EU). Guavirá possède à peu près 80 mille ha de terres situées dans l’état de Mato Grosso (terres privées). Sur ce total, 58 mille ha sont couverts de forêts tropicales naturelles gérées à des fins de production. C’est l’un des plus grands plans d’AFD de l’Etat de Mato Grosso. Le plan d’AFD établi par Guavirá a été considéré par les autorités de l’Etat ainsi que par l’agence forestière nationale (IBAMA) comme un modèle à suivre. Bien que l’entreprise puisse acquérir les grumes sur le marché local, toutes les fournitures de bois proviennent de ses propres terres forestières sous AFD. Les terres forestières que possède Guavirá sont tout à fait spéciales, présentant beaucoup moins de variété que dans d’autres parties de la région amazonienne. Essentiellement, les forêts de Guavirá renferment 24 espèces d’arbres qui sont considérées en principe d’intérêt commercial mais, en raison de la forte concentration des espèces, il a été décidé de ne récolter que la moitié des espèces disponibles. Cedrinho (Erisma uncinatum) est l’essence prédominante qui représente environ 50% de tous les prélèvements de bois. Selon l’emplacement, le volume de cedrinho se situe entre 10 et 15 m3/ha (dans certains secteurs restreints, le volume peut être plus élevé). Les autres 50% du volume récolté est représenté par 10 autres essences. Le fait d’avoir un volume élevé concentré sur une seule essence (cedrinho) bénéficiant d’un marché considérable est un avantage concurrentiel important pour GUAVIRÁ. La récolte est exécutée avec beaucoup d’efficacité. Les opérations de récolte et de transport se déroulent toute l’année, tandis que pour la plupart des entreprises de la région amazonienne ces opérations ne durent pas plus de 68 mois dans l’année à cause de la saison des pluies. Ce type d’exploitation n’est possible que grâce aux conditions locales (en particulier les sols) et surtout à l’approche adoptée par Guavirá pour la récolte, laquelle inclut la construction de routes pour accéder aux séries de coupe spécifiques pendant la période des pluies. Les opérations pouvant se poursuivre pendant douze mois de l’année, et des techniques et du matériel de transport améliorés étant utilisés pour la récolte, les coûts de ces opération sont bien inférieurs à ceux auxquels doivent faire face les concurrents. Le matériel utilisé comprend essentiellement un débusqueur, un chargeur avant et cinq camions de 70 tonnes, ce qui est suffisant pour prélever les 85.000 m3/an usinés par la scierie. Afin de renforcer son avantage concurrentiel, GUAVIRÁ a décidé d’investir dans une scierie moderne. Les principaux objectifs de l’investissement dans une nouvelle scierie étaient: d’accroître la productivité, de réduire les déchets de bois et d’améliorer la qualité des produits en vue d’accéder au marché international. Le projet pour la modernisation des opérations et de l’équipement de GUAVIRÁ a été mis à exécution avec l’appui d’un cabinet d’experts-conseils. La modernisation des installations industrielles comprenait: i) la construction d’une scierie moderne d’une capacité de production de 60.000 m3/an de sciages pour remplacer les trois petites installations existantes, y compris les séchoirs; ii) la construction d’une installation moderne de transformation secondaire afin de valoriser les sciages, ainsi que pour améliorer le rendement matière; et iii) la mise en place d’une centrale électrique utilisant les déchets de bois. La construction de la centrale électrique aurait dû commencer pendant la construction de la scierie, mais en raison de la participation d’un producteur d’électricité indépendant (IPP), cet investissement a été remis à plus tard. Le total de ces investissements s’est chiffré à quelque 12 millions de $EU. Environ 50% de ce montant a été financé par la Banque nationale pour le développement économique et social (BNDES). C’était le premier financement accordé par la BNDES à une industrie du bois opérant dans la région amazonienne et basée sur les bois tropicaux. Sans compter l’investissement pour la modernisation des installations, les fonds mis à disposition par la BNDES ont également servi à l’expansion des plantations forestières et à renforcer le programme social. Les investissements ont largement facilité à l’entreprise l’accès au marché international (avant la nouvelle scierie, 100% de la production a été vendue sur le marché intérieur, principalement comme matériau de construction). Pendant la construction de la nouvelle scierie, plusieurs missions ont été effectuées dans les principaux marchés en vue de cerner les meilleures options en termes de produits, filières du marché et clients. Actuellement, Guavirá produit 45.000 m3/an de sciages tropicaux. Les qualités supérieures sont transformées en produits à valeur ajoutée (environ 10.000 m3/an de produits à valeur ajoutée sont vendus principalement sur le marché international sous forme de moulurés, revêtement de sol d’extérieur, pièces de meubles, etc.). Grâce à la stratégie adoptée (valorisation d’une partie significative de la production et commerce sur le marché international) les prix de vente moyens ont augmenté de plus de 100% au cours des 3 dernières années. La hausse du prix moyen a permis d’accroître les revenus et la rentabilité, tout en réduisant les volumes récoltés. Le cas de Guavirá met en évidence qu’augmenter la productivité dans la chaîne de production est fondamental pour faire concurrence sur le marché et pour garantir la durabilité économique des affaires, ce qui est de la plus haute importance pour satisfaire aux critères environnementaux et sociaux fixés pour la gestion.
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Néanmoins, Guavirá a des problèmes quant à la durabilité économique à long terme des affaires. La complexité croissante du cadre juridique relatif aux forêts, le chevauchement de plus en plus fréquent des règlements résultant du processus de décentralisation en cours font continuellement monter les coûts des opérations. Cet état de choses pousse à des infractions aux procédures formelles et à la corruption, notamment s’il y a également des faiblesses dans l’application des lois. Il y a de sérieux doutes en particulier quant à savoir jusqu’à quel point le gouvernement pourra efficacement à l’avenir faire respecter la loi relative aux droits de propriété, ce qui pourrait limiter les futurs investissements.
ORSA Florestal L’ histoire de la région de la vallée de Jari, située dans le nord de l’Etat de Pará (Brésil), à 600 km de la capitale Belém, est intimement liée aux activités forestières de Jari Celulose (connue dans le monde entier en tant que Projet Jari), une entreprise installée dans la région en 1967. Le projet a débuté par la création de plantations et, plus tard (en 1978), une usine de pâte a été construite. En 2000, le Groupe ORSA a repris le projet et il a été décidé de mettre en oeuvre dans la région un Pôle de développement durable, axé sur l’utilisation multiple des ressources forestières, tout en continuant de développer le secteur de la pâte de bois (jusqu’ici l’activité économique principale). En 2003, ORSA Florestal a commencé les activités de son plan d’aménagement forestier durable sur une aire de 545.000 ha. Une rotation de 30 ans a été envisagée dans le plan de gestion. Cette même année, l’entreprise a lancé le processus de certification FSC, ainsi que celui du système de certification scientifique (SCS). Outre le bois, il est prévu également de faire certifier les PFNL. L’intention est de faire récolter les PFNL par la communauté locale, avec le soutien de l’entreprise et de la Fondation ORSA. L’entreprise a également mis en service une scierie. La production actuelle se chiffre à 1.500 m3/mois et la production est séchée à l’air avant d’être expédiée au consommateur final. Au cours de 2004, la capacité de la scierie passera à 3.000 m3/mois. En outre, l’entreprise met en place l’équipement de transformation secondaire visant à produire des S2S, S4S, revêtements de sol extérieur, parquets et autres produits à valeur ajoutée. Au cours de la décennie passée, le Brésil a élaboré un cadre de grande envergure et complexe de lois, politiques et règlements à l’appui de l’AFD. Ce cadre inclut une définition précise des objectifs nationaux liés aux forêts (production, conservation et protection), à la tenure des droits de propriété, au contrôle de la gestion forestière et des prélèvements et à d’autres éléments. En fait, le Brésil est peut-être un des pays du monde ayant le cadre de réglementation forestière le plus complet. Vu son ampleur, la part d’investissement étranger et son emplacement, le Projet Jari fait l’objet de discussions depuis longtemps. Les problèmes liés à l’internationalisation de la région amazonienne, aux incidences sociales et environnementales ont été soulevés au niveau national et international. De plus, la viabilité économique du projet a été remise en cause, et pendant plus de deux décennies les investissements se sont ralentis et des doutes ont surgi concernant sa poursuite. Le transfert du contrôle de l’entreprise à un groupe national d’investissement a atténué les problèmes liés à l’internationalisation de la région amazonienne, mais des préoccupations subsistent quant aux incidences négatives de caractère social et environnemental, ainsi que des doutes concernant son durabilité économique. Le Groupe ORSA a décidé de se focaliser sur les faiblesses du projet. Les nouveaux concepts de gestion introduits, y compris une politique d’administration claire établissant la responsabilité pour l’environnement, la recherche et le développement ainsi qu’une meilleure utilisation des ressources locales, ont changé l’image de l’entreprise. Il est certain que les leçons apprises pendant presque un demi siècle ont été d’une importance capitale pour l’introduction de la nouvelle approche de gestion, mais il faut reconnaître qu’ORSA a été capable de faire une analyse critique du problème et d’utiliser l’expérience acquise pour restructurer les opérations et les transformer en affaires durables, entièrement intégrées à la réalité locale. Les connaissances acquises dans le domaine de la création de plantations à croissance rapide dans les régions tropicales de forêt ombrophile est d’importance exceptionnelle. Il a fallu plusieurs années de recherche intensive, de nombreux essais sur le terrain et d’importants investissements pour atteindre le stade actuel de plantations extrêmement productives, capables de produire du bois de pâte de haute qualité. L’accroissement du rendement des plantations a permis de réduire les superficies nécessaires et, ce qui est le plus important, d’asseoir la rentabilité de l’entreprise. Le total des superficies que possédait à l’origine le Projet Jari a également diminué. ORSA a reconnu les droits fonciers de certaines communautés locales et a également créé des espaces protégés dans certains milieux particuliers. Les conflits qui sévissaient dans la région ont ainsi été atténués, l’image de l’entreprise en a été améliorée, et il reste encore suffisamment de terres pour explorer, en coopération avec la communauté locale et plusieurs organisations, des options pour le développement durable de la forêt naturelle. Le potentiel de la forêt naturelle entre dès lors en tant qu’élément important des affaires de l’entreprise.
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Certes, ORSA est encore au tout début d’un processus d’apprentissage en matière de gestion des forêts tropicales naturelles, mais cet apprentissage a été facilité grâce à une structure de gestion bien établie, des ressources financières disponibles, et une stratégie et un plan d’affaires bien définis. Une des forces de l’entreprise dans le domaine social aussi bien qu’environnemental tient à son lien avec la Fondation ORSA. La Fondation dispose de 1% des revenus annuels bruts du Groupe pour mettre en oeuvre des programmes et des projets. Sa structure et ses fonds sont d’une importance exceptionnelle pour faciliter la coopération avec la communauté ainsi qu’avec les organisations nationales et internationales. Dans le cadre du programme social, la mise en oeuvre de l’AFD permettra de procéder à plusieurs activités qui apporteront des revenus aux communautés locales. Une de ces activités concerne les produits forestiers non ligneux. L’intention va plus loin que la création d’emplois et passe par la formation des ressources humaines aux aspects de la production et de l’organisation, permettant la création de nouvelles entreprises administrées par les communautés locales, en vue d’améliorer l’économie locale. ORSA est un exemple d’entreprise qui a fait un énorme effort pour adopter l’AFD, grâce à une approche intégrée, en tenant présent à l’esprit que la durabilité économique est à la base de la satisfaction des critères sociaux et environnementaux. L’évaluation indique clairement qu’il est fondamental de disposer de ressources financières et humaines pour atteindre la cible. Dans le cas d’ORSA, ces facteurs ne sont pas, en principe, très limitatifs. Il semble que l’entreprise soit sur la bonne voie, mais le degré de réussite de l’entreprise en matière d’AFD devra être évalué d’ici quelques années.
Cikel CIKEL est un groupe brésilien privé établi en 1974. C’est une entreprise de bois pleinement intégrée. Ses opérations couvrent l’exploitation et les récoltes forestières, la fabrication (transformation primaire et secondaire) et la commercialisation. CIKEL est une des plus grandes entreprises de bois exploitant les bois tropicaux en Amérique latine. Elle emploie près de 1.800 personnes et le total de ses revenus annuels se monte à environ 27 millions de $EU. En 2000, CIKEL a décidé de regrouper cinq petits plans de gestion forestière en un seul grand projet portant sur une superficie de 206.412 ha. L’intention était de rassembler dans le nouveau plan d’aménagement toutes les connaissances techniques et scientifiques disponibles. Au début, CIKEL a fait appel à ses propres ressources humaines. Il a mis sur pied son propre département de foresterie. De plus, tous les bureaux et infrastructures de terrain nécessaires ont également été mis en place. En même temps, l’entreprise a conclu plusieurs partenariats et accords avec des centres de recherche, des universités, des ONG, entre autres, en vue de subventionner l’information et les connaissances requises pour l’élaboration du plan d’AFD de CIKEL. Des experts dans différents domaines et de plusieurs instituts et organismes ont été divisés en groupes de travail qui, avec la collaboration des techniciens de CIKEL, ont élaboré le plan d’AFD de l’entreprise. Jusqu’à récemment, ce plan d’AFD était le plus vaste qui ait été élaboré, mis en oeuvre et soumis aux autorités compétentes du Gouvernement brésilien. L’exécution du plan d’AFD exigeait le ferme engagement de CIKEL à l’égard de la communauté locale. En fait, l’entreprise est parvenue à trouver des moyens pour sensibiliser la population locale et traditionnelle à l’importance de l’AFD et à ce qu’il contribue à la conservation dans la région. Au début, l’idée était de lancer un programme d’éducation environnementale axé sur la communauté située dans l’unité de gestion forestière, mais ultérieurement, cette action s’est élargie à toute la communauté avoisinante. La conception du projet de gestion forestière de l’entreprise, considérée novatrice, multidisciplinaire et interinstitutionnelle, a mené l’entreprise à adopter les principes, critères et indicateurs de certification internationale des forêts définis par le Forest Stewardship Council (FSC). Logiquement, parmi les multiples avantages tirés par CIKEL de l’exécution du plan d’AFD, il fallait relever d’importants défis, et certains subsistent encore. Les principales difficultés sont les suivantes: i) les pouvoirs locaux, étatiques et fédéraux n’ont pas de mécanismes d’incitation; ii) la presse préfère rapporter des faits concrets sur les projets en Amazonie; iii) la concurrence déloyale sur les marchés, y compris le marché intérieur, qui ne tiennent pas compte des principes sociaux et environnementaux dans leurs préférences d’achat et qui ne sont fondés que sur des considérations de prix; et iv) les demandes constantes d’investissements novateurs en matière d’écotechnologie et de formations spécifiques. Si on fait la synthèse des avantages produits, on constate: i) meilleurs rapports avec la communauté, y compris la possibilité d’offrir du travail spécialisé; ii) davantage d’engagement de la part des employés à résoudre des problèmes courants; iii) progrès à l’avantage de la conservation de l’environnement; iv) promotion des espèces faisant l’objet d’un commerce international; v) meilleure image écologique des entreprises situées dans l’Amazonie; vi) plus grande concurrence internationale sur les “marchés verts”. On a observé que de nombreux résultats peuvent être considérés intangibles, comme le montrent beaucoup
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d’investissements dans le secteur de l’environnement, à cause de la difficulté de mesurer du point de vue économique la transformation culturelle favorisée dans ce cas précis. Cette question devient d’autant plus pertinente qu’elle concerne une région présentant des difficultés logistiques considérables par rapport à d’autres secteurs industrialisés où la composante environnementale n’est qu’un des facteurs qui conditionnent la performance économique de l’entreprise. Même si ce cas peut être considéré comme un modèle pour l’AFD dans les tropiques, ayant accumulé une grande expérience au cours de ces dernières années, il existe des problèmes à surmonter. Les principaux peuvent se résumer comme suit: i) manque de mécanismes de financement adéquats au niveau du gouvernement pour efficacement promouvoir l’adoption de l’AFD; ii) la complexité du cadre juridique se traduit par des coûts plus élevés et une plus grande compétitivité sur le marché international (il existe d’autres sources de bois beaucoup moins réglementées); iii) vu l’instabilité du cadre réglementaire et, en particulier, les incertitudes concernant les droits de propriété des terres et des forêts, il est difficile de prendre des décisions sur des investissements à long terme dans des opérations forestières et industrielles; iv) l’image de l’industrie du bois continue de limiter l’accès au crédit et à d’autres avantages; v) échec de l’imposition de la loi nationale, ce qui conduit à la concurrence déloyale sur le marché. Comme on peut s’en douter, la plupart des problèmes énumérés ne peuvent pas être résolus par l’entreprise. Leur solution nécessite en principe la participation directe du gouvernement aux niveaux fédéral et de l’Etat.
QUESTIONS PRINCIPALES Questions De Gouvernance Règlements complexes et inefficaces Les préoccupations internationales concernant les forêts et l’environnement, en plus du cadre institutionnel généralement faible des pays d’Amérique latine et des Caraïbes, ont fait que de nombreux pays de la région dépendent dans une large mesure de la coopération internationale bilatérale et multilatérale, ainsi que d’ONG internationales, pour élaborer des politiques, des lois et des règlements nationaux à tous les niveaux. En même temps que ce développement intra-sectoriel, d’autres facteurs sectoriels ont également eu des incidences sur le développement du cadre réglementaire concernant les forêts et l’environnement. Un des importants facteurs sectoriels supplémentaires est lié aux politiques générales relatives à la décentralisation. Dans la plupart des pays, plusieurs organisations internationales, de différentes origines et vocations, ont été impliquées dans ce processus. A cause de leur faiblesse, les institutions des pays de la région ne pouvaient pas correctement influencer ou conduire le processus, ce qui s’est traduit en général par un cadre juridique très complexe, qui ne prend pas en compte les conditions locales. Ce qui mène aux problèmes d’imposition des lois, facilitant la corruption et faisant monter les coûts des opérations du secteur formel de l’économie. Les conditions à remplir par une entreprise opérant dans le secteur des bois tropicaux sont multiples. Il existe également d’autres problèmes communs, y compris le chevauchement fréquent des pouvoirs fédéraux et étatiques (source de coûts additionnels et de conflits) et le manque de stabilité face aux lois et aux règlements (qui risquent de compromettre la rentabilité des investissements à long terme). De toute manière, l’évaluation faite indique que le secteur privé, en tant qu’investisseur important dans l’AFD, a tiré des enseignements de ce processus et, compte tenu de son expérience pratique, devrait être invité par les gouvernements à débattre des options. Parmi les questions soulevées par le secteur privé durant l’exécution de cette étude aux fins d’examen, et que les gouvernements de la région pourraient envisager d’étudier lors de futures discussions, on peut citer les suivantes: •
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La structure étatique a été élargie pour permettre la mise en oeuvre du cadre complexe de réglementations relatives aux forêts et à l’environnement au cours des dernières années. Dans quelle mesure les gouvernements appliquent-ils avec efficacité le cadre réglementaire existant? Les coûts qu’il entraîne peuventils être justifiés par une analyse coûts-avantages? La décentralisation produit-elle les résultats escomptés et aide-t-elle à promouvoir l’AFD, ou est-ce en fait une nouvelle source de revenus pour les gouvernements sous-nationaux, grevant de coûts supplémentaires les opérations du secteur privé? Le cadre réglementaire arrêté aide-t-il l’AFD ou crée-t-il des obstacles et réduit-il la valeur des forêts, favorisant de ce fait indirectement le déboisement? Les coûts additionnels résultant de l’adoption de pratiques destinées à engendrer un ensemble d’avantages sociaux et environnementaux sont maintenant internalisés par le secteur privé de production de bois. Ces coûts devraient-ils être à la charge de la société (nationale et internationale) et partagés entre tous les bénéficiaires?
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Pourquoi les activités forestières dans la région devraient-elles être plus réglementées que les activités forestières qui se déroulent dans d’autres régions? Est-ce juste vis-à-vis des entreprises locales, étant donné que toutes les entreprises se font concurrence sur un marché mondial? Les gouvernements ont-ils fait des investissements dans des initiatives anticipatives visant la cause du problème, dans l’éducation par exemple? Le cadre de normalisation actuel est-il réellement stable? Comment se présentera le prochain et comment les investisseurs peuvent-ils être certains de rentabiliser leurs investissements dans un tel climat?
En fait, dans la plupart des cas, les règlements mis en place n’ont pas été largement discutés et approuvés par les parties prenantes, le savoir local n’a pas été pris en compte, et les critères internationaux utilisés comme paramètres ne sont pas toujours entièrement adaptés. Les mesures réglementaires existantes devraient être révisées et des efforts devraient être faits pour accroître l’efficacité des gouvernements dans la région. L’allégement de la réglementation et de la bureaucratie, et plus d’efficacité dans l’application des lois et des règlements, font partie les questions importantes à examiner. Pour résumer, le secteur privé est d’avis que la réglementation, si elle est nécessaire, devrait promouvoir l’AFD et non dévaloriser les forêts.
Droits de propriété, tenure des terres et domaine forestier permanent La tenure de terre et, en particulier, l’absence de droits de propriété bien définis ont été les problèmes clés qui ont conditionné les investissements dans le secteur forestier en Amérique latine et aux Caraïbes. En effet, l’insécurité des droits de propriété entrave, ou du moins freine les investissements privés dans le secteur forestier et, par conséquent, dans l’AFD. En fait, une condition préalable à remplir si l’on veut réaliser l’AFD dans la plupart des pays de la région d’Amérique latine/Caraïbes, principalement en Bolivie, au Guyana, au Pérou et au Suriname, est de résoudre les conflits d’application des lois en matière de droits de jouissance et de propriété des terres. Une plus grande sécurité de tenure peut être un élément important dans n’importe quelle stratégie visant à promouvoir l’AFD dans la région d’Amérique latine/Caraïbes. D’autres mesures peuvent également jouer un rôle important; par exemple, un complément de diverses mesures d’ordre fiscal peut servir à promouvoir l’AFD. D’autres utilisations des sols peuvent être encouragées ou découragées selon le système d’imposition. Les espaces couverts de forêts naturelles pourraient être soumis à des impôts fonciers peu élevés tandis que les zones de pâturage ou d’agriculture pourraient être soumises à des impôts plus élevés. En outre, des droits de passage et des accords de conservation pourraient être promus en accordant des taux d’imposition inférieurs. Les mouvements sociaux ont créé des pressions sur les terres forestières. Les mouvements sociaux ont pour origine la pauvreté et, dans certains cas, l’intérêt de groupes particuliers. Au Brésil, de même que dans d’autres pays, les mouvements sociaux dans la région ont poussé les gouvernements à redistribuer les terres par le biais d’un programme de réforme agraire. Dans de nombreux cas, les terres forestières ont fait partie des programmes de redistribution et, dans la plupart des cas, les résultats ne sont pas positifs. Les potentialités de la forêt sont gaspillées et le manque d’assistance technique et de soutien aux nouveaux colons a eu comme conséquence l’échec des programmes. Les forêts et les terres sont dégradées et les problèmes sociaux continuent. Dans certains cas, les terres sont occupées par des mouvements sociaux et les forêts sont dégradées, qu’il existe ou non un programme gouvernemental. Il en résulte des conflits et les droits de propriété sont rarement respectés à cause de l’incapacité des gouvernements de faire respecter les lois. Des observations supplémentaires à ce sujet sont faites plus loin dans le présent rapport sous la rubrique concernant l’application des lois. Pour la plupart des pays, le cadre réglementaire, tel qu’il se présente à l’heure actuelle, concerne des superficies forestières assez étendues. Sur de petites superficies, l’AFD n’est pas faisable économiquement, ni du point de vue des opérations. Dans la pratique, cela signifie qu’aucun des petits propriétaires fonciers ne peut vouer son domaine forestier à la production, sinon ses opérations sont considérées illégales, même si des pratiques d’AFD adéquates sont adoptées et si les forêts sont protégées. Les droits de tenure et de propriété des terres représentent en fait une question cruciale dans les pays où le système privé de terres forestières prédomine en ce qui concerne les forêts de production. C’est le cas de la grande majorité des pays tropicaux dans la région latino-américaine et des Caraïbes. Néanmoins, c’est également un problème dans les pays possédant des terres publiques, comme en Bolivie, où les concessionnaires ont la responsabilité, dans une certaine mesure, de l’entretien des domaines forestiers.
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Activités illégales et application des lois L’industrie du bois a souvent été associée aux activités illégales. Au cours des dernières années, le débat sur l’exploitation forestière illégale a pris de l’importance dans les délibérations qui ont eu lieu sur le plan mondial. Le gouvernement des Etats-Unis et la Communauté européenne (CE) ont mis en place des initiatives visant à limiter l’exploitation forestière illégale. Il est dit que l’exploitation forestière illégale et le commerce qu’elle alimente constituent de plus en plus un problème ayant des incidences économiques, environnementales et sociales négatives, et les combattre est devenu prioritaire. L’objectif principal du plan d’action de l’Union européenne (UE) sur l’application des lois, la gouvernance et le commerce en matière de forêts (FLEGT), par exemple, est de créer et mettre en oeuvre un régime de licences de bois par le biais de partenariats avec les pays producteurs. On s’attend à ce que ce régime garantisse que seul le bois d’origine légale entre dans l’UE. La stratégie de l’UE envisage de saisir l’OMC de cette question. Les travaux menés dans le cadre de ce projet font ressortir clairement que le secteur privé opérant dans les forêts tropicales de la région n’est pas au courant du débat qui se déroule actuellement sur le plan mondial. Il semble dans ce cas également que la partie prenante la plus importante n’ait pas été impliquée et il y a beaucoup à perdre si l’on adopte cette approche. La définition de l’exploitation forestière illégale n’est pas claire et tout semble indiquer que le débat international n’en a toujours pas arrêté une définition appropriée. Certaines organisations, notamment la FAO, ont défini l’exploitation forestière illégale sur la base d’une connotation relativement restreinte. Selon cette définition, il y a exploitation forestière illégale lorsque le bois est récolté de manière non autorisée, en infraction des lois et des règlements établis. La discussion porte maintenant sur l’adoption d’une définition plus large, impliquant non seulement les activités d’exploitation forestière mais aussi le commerce (non seulement les coupes et le commerce associé comme le fait en principe FLEGT). Le concept élargi considère que les activités d’exploitation et du commerce sont associées, interdépendantes et qu’elles ont les unes et les autres des incidences négatives sur l’AFD. Selon le concept élargi, les illégalités comprendraient l’exploitation forestière illégale (abattages dans des aires protégée, absence de permis de coupe et autres aspects), le transport illégal de bois, le commerce illégal (contrebande de bois, commerce d’espèces de bois interdites par la loi et autres activités connexes), la transformation illégale de produits forestiers, les prix de transfert, les pratiques comptables illégales, les délits financiers et les pratiques de corruption (les pots-de-vin, la non-communication d’informations publiques, et autres). Comme on peut le constater, la liste est longue et dépasse la définition étroite de l’exploitation forestière illégale. Vu la complexité de ce problème, ce sujet restera certainement à l’éordre du jour pendant longtemps, et il semble fondamental d’ouvrir le débat et d’y faire participer le secteur privé. Que la définition adoptée soit étroite ou large, il n’y a aucun doute que les illégalités font partie des activités d’exploitation forestière et du commerce dans la région d’Amérique latine/Caraïbes. En outre, il est évident que le cadre de réglementation complexe a joué un rôle important dans la recrudescence des illégalités, et que de nombreuses opérations considérées illégales dans la plupart des pays d’Amérique latine et des Caraïbes ne le seraient pas dans d’autres régions du monde, comme aux Etats-Unis, où la récolte sur des terres privées n’est pour ainsi dire pas réglementée. Le secteur privé estime que, sans compter la complexité du cadre de réglementation, l’inefficacité des gouvernements et la bureaucratie associée à l’obtention de tous les permis exigés pour opérer dans le secteur forestier, constituent un autre facteur important qui multiplie les activités illégales. La longueur du processus entraîne des coûts élevés, se répercute sur la production et pousse à la corruption. Les opérations illégales sont devenues un moyen rapide pour une entreprise de gagner de l’argent pour poursuivre ses opérations. Dans beaucoup de cas, l’exploitation forestière illégale a lieu sur des terres publiques. En fait, dans certains pays les pratiques illégales en matière d’exploitation forestière sont beaucoup plus fréquentes sur les terres publiques que sur les terres privées. Les terres forestières publiques sont essentiellement considérées comme des terres auxquelles il est possible d’accéder librement, tandis que la plupart des terres privées sont respectées. Les coupes illégales ont lieu également hors des terres publiques, et assez fréquemment dans de petites propriétés. C’est assez courant dans des espaces forestiers ayant fait l’objet d’accords au titre des programmes gouvernementaux de redistribution des terres. Ce problème existe et reste à résoudre. Les options doivent être examinées en ce qui concerne les petites propriétés, et une approche anticipative des gouvernements dans la région sera nécessaire. Les résultats de cette étude montrent que le secteur privé est conscient du problème. Les entreprises le voient dans l’optique des difficultés à faire concurrence aux apports provenant de sources non durables. L’AFD entraîne des coûts financiers et administratifs et doit à long terme se traduire par un rendement financier. Il n’y a aucun doute que les activités illégales non durables dans les “espaces boisés librement accessibles” sont beaucoup plus rentables à court terme et que, par conséquent, les investisseurs légitimes sont financièrement très désavantagés lorsque les délits forestiers prolifèrent.
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Il faut aussi tenir présent à l’esprit qu’obtenir des informations sur les pratiques illégales et leur contribution à la production totale n’est pas une tâche facile et que les informations disponibles ne sont pas précises. Dans la plupart des cas, ces informations ont été accumulées par des ONG et le secteur privé considère qu’elles manquent de fiabilité. Par exemple, l’information concernant l’exploitation illégale au Brésil indique que plus de 80% du bois récolté dans la région amazonienne provient de sources illégales. Cette information n’a pas changé au cours des quelque 20 dernières années. Le secteur privé estime que ce n’est sans doute pas le cas et qu’un chiffre initialement incorrect a été reproduit dans les publications d’année en année. Du point de vue du secteur privé, il est clairement évident que des changements sont intervenus au cours des années, et il ne peut accepter que tout les efforts faits par les gouvernements, au niveau national et de l’Etat, pour améliorer le cadre juridique et l’imposition de lois, sans compter le travail effectué par les ONG, n’ont pas eu un certain impact sur cette situation. Le contrôle et l’application des lois aux activités illégales dans les forêts de la région d’Amérique latine-Caraïbes sont extrêmement difficiles à cause de: i) la vaste étendue du secteur; ii) la médiocrité des infrastructures; et iii) le grand nombre d’acteurs contribuant au déboisement. Les difficultés de contrôle et d’application des lois sont aggravées par des problèmes aux niveaux des institutions et des politiques: i) présence limitée d’institutions gouvernementales; ii) fragmentation et double emploi des activités des institutions chargées de l’environnement, ce qui a été fréquemment observé au Brésil; iii) faible priorité accordée au contrôle de l’utilisation des terres et des forêts; et iv) ressources financières limitées (Simula, 2002). L’évaluation faite par le consultant corrobore les avis du secteur privé. Il existe beaucoup d’autres activités illégales liées à la forêt, à la transformation du bois et au commerce que “les abattages illégaux classiques”. En fait, il est beaucoup plus probable que les conséquences économiques, sociales, environnementales négatives soient liées aux activités illégales perpétrées hors des périmètres forestiers plutôt qu’à l’exploitation forestière illégale. Malgré tous ces aspects, il est permis de croire que les activités illégales associées à l’industrie forestière tropicale dans la région d’Amérique latine-Caraïbes ont diminué au cours des dernières années. Ce progrès est dû à l’adoption de l’AFD par de nombreux pays de la région, résultant en grande partie de pressions internationales. L’attitude du secteur privé évolue rapidement et ce secteur a tout intérêt à coopérer afin de réduire les activités illégales. De l’avis général du secteur privé, il est indispensable, si l’on veut promouvoir l’économie formelle et attirer les investissements nécessaires pour promouvoir l’AFD, de réexaminer le cadre de réglementation en vue d’améliorer l’efficacité, de réduire les coûts et de faciliter l’application des lois.
Questions Techniques Et Scientifiques Renforcement des capacités et éducation en matière d’AFD Cette étude précise que le manque de ressources humaines qualifiées est une des principales contraintes à l’encontre des progrès vers l’AFD dans la région d’Amérique latine/Caraïbes. C’est un problème auquel sont confrontés tant le secteur privé que le secteur public. Mais étant donné que le secteur privé est celui qui est chargé de mettre en oeuvre l’AFD, le problème est plus critique dans son cas. Dans le secteur privé, le manque de personnel formé se retrouve à tous les niveaux, de celui de la gestion à celui des ouvriers dans la forêt. Les études de cas effectuées dans le cadre de ce projet montrent que les grandes entreprises ont trouvé des moyens pour résoudre en partie ce problème. Les différentes solutions adoptées ont été d’avoir recours à des consultants externes, à des accords de coopération avec des institutions locales et internationales, à des programmes de formation dans l’entreprise et dans la forêt de protection, mais également durant les opérations industrielles, entraînant de ce fait des coûts supplémentaires pour les entreprises. Le problème ne se limite pas aux opérations forestières. Le manque de personnel qualifié en matière de gestion et pour les activités de transformation et de commerce des bois présente de sérieuses difficultés pour l’adoption de nouvelles technologies, la valorisation des produits, l’amélioration de la productivité et la compétitivité sur le marché. En fait, la priorité ayant été accordée aux forêts et à l’environnement, le renforcement des capacités dans les opérations industrielles et commerciales est passé au deuxième rang des priorités dans la plupart des cas. C’est une grave erreur car seule une industrie efficace peut transformer le potentiel existant en biens qui peuvent être négociés de manière rentable sur les marchés. La durabilité économique est ainsi en danger. La situation varie d’un pays à l’autre et au sein de l’industrie du bois. Comme on peut s’y attendre, le problème est très sérieux dans les pays moins développés de la région et dans les petites entreprises. Sans compter le renforcement des capacités nécessaires pour bien gérer et exploiter les forêts, les programmes éducatifs destinés aux communautés locales vivant à l’intérieur ou à proximité des forêts font défaut. Le secteur privé a toutefois fait des expériences non négligeables dans ce domaine, lesquelles pourraient servir de modèles ailleurs.
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Les réactions des communautés aux programmes exécutés par le secteur privé ont dépassé les espérances. Les communautés ont modifié leur attitude à l’égard de l’environnement, des forêts et même de l’industrie du bois. Les enseignements tirés montrent qu’un programme d’éducation bien conçu mais relativement simple, axé sur les valeurs forestières, peut avoir un impact important moyennant des investissements relativement faibles. Dans pratiquement tous les pays de la région, les gouvernements ont fait très peu dans le domaine du renforcement des capacités et de l’éducation de ceux qui travaillent ou vivent dans les zones de forêts. Les gouvernements doivent adopter un programme positif et une attitude anticipative, et collaborer avec le secteur privé, les organisations internationales et les ONG pour trouver les moyens de faciliter la mise en oeuvre de l’AFD.
Recherche, développement et information Malgré les efforts et les réalisations récentes, et très significatives vu la complexité des forêts tropicales, il reste énormément à faire dans le domaine de la recherche fondamentale et appliquée dans la région d’Amérique latine/Caraïbes. Dans pratiquement tous les pays, la recherche est encore traitée comme étant du ressort du gouvernement et peu de pays dans la région sont bien établis et ont mis en place des organismes actifs dotés de programmes adéquats de recherche et développement. Dans la plupart des pays, la recherche et le développement sont traités en tant qu’éléments de projets, souvent financés par des organisations internationales. Les questions traitées dans les projets varient selon les priorités du bailleur de fonds, les préférences des individus ou pour d’autres raisons peu claires. En conséquence, malgré les investissements consentis et un nombre relativement grand de projets, très peu des résultats de la recherche ont été utilisés par ceux (du secteur privé) qui s’occupent effectivement d’AFD dans les forêts de production. Plusieurs pays de la région d’Amérique latine-Caraïbes reconnaissent qu’il est nécessaire d’apporter des changements dans leurs établissements de recherche forestière afin de remédier à ces insuffisances. Bien que certains pays possèdent un grand nombre d’institutions qui devraient et pourraient être impliquées dans la recherchedéveloppement, la production scientifique est en général pratiquement absente à cause d’une gestion médiocre et du manque de coopération avec le secteur privé et d’autres organismes. Cette situation, associée à un manque de coordination nationale en matière de R&D, mène au double emploi des efforts et à la faiblesse d’institutions dont les possibilités de développer une recherche multidisciplinaire sont limitées. Dans la plupart des cas, il n’y a aucun résultat pratique à offrir à la société, et les ressources en temps et financières sont gaspillées. Dans plusieurs organisations, il est d’usage “d’attendre que le nouveau projet soit financé avant de commencer les travaux” et non “de cerner les priorités nationales pour lesquelles le programme de recherche doit trouver des solutions”. Dans pratiquement tous les pays tropicaux d’Amérique latine et des Caraïbes, les informations concernant les ressources des forêts tropicales, l’industrie et le commerce des bois sont très lacunaires. Lorsqu’elles existent, elles manquent de précision ou ne sont pas mises à jour. Plusieurs efforts ont été faits en vue d’améliorer cette situation, notamment avec l’appui d’un projet OIBT visant à mettre en place un système d’information. Le problème vient du fait que, dans la plupart des cas, le travail ne se poursuit pas une fois le projet achevé. Il semble que disposer d’un système d’information ne fasse pas partie des priorités des gouvernements locaux. La situation est en général chaotique, mais naturellement varie selon les pays, le milieu et les secteurs forestiers. Dans aucun des pays, les informations ne sont facilement disponibles sur, par exemple, la production durable de bois. Néanmoins, le Brésil dispose d’informations sur le déboisement, précises et régulièrement actualisées, mais les données sur le nombre d’industries du bois en service, la consommation et la production des produits forestiers sont basées sur des évaluations approximatives. Enfin, l’information dans la plupart des pays de la région n’est pas accessible à tous. Il est fort nécessaire de démocratiser l’information. Cela aiderait à réduire les pratiques illégales, particulièrement la corruption.
Priorité accordée aux plantations La complexité du cadre réglementaire et l’attention de plus en plus focalisée sur les forêts tropicales naturelles ont été les moteurs de la promotion en faveur des plantations, si possible en dehors des régions tropicales (comme cela s’est produit au Brésil). Le secteur privé pense en général que, dans le moyen terme, les forêts naturelles ne seront plus accessibles pour la production de bois, ou que la tendance croissante de multiplier les règlements feront monter les coûts au point où les bois tropicaux seront remplacés par d’autres bois ou par des produits autres que le bois. Dans cette optique, et profitant également d’incitations, de nombreux pays de la région d’Amérique latine-Caraïbes ont créé des plantations, certaines sur de vastes superficies, et la tendance porte à croire que les superficies plantées se développeront rapidement dans les prochaines années.
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Les plantations se multiplient, en vue de produire non seulement du bois, mais aussi des produits non ligneux. Les plantations d’hévéas au Brésil sont un exemple du développement rapide de plantations axées sur les produits non ligneux. Malgré les incitations en faveur du caoutchouc des forêts naturelles, la création de ce que l’on appelle les “réserves d’extraction”, ainsi que les investissements et le ferme soutien qu’elles ont reçu de la part des organisations internationales et des ONG, plus de 90% de la production actuelle de caoutchouc naturel était originaire d’ailleurs que la région amazonienne. La plus importante région productrice de caoutchouc, et de loin, est située dans l’Etat de São Paulo (dans le sud-est du pays). C’est un processus que le secteur privé observe dans tous les pays d’Amérique latine et des Caraïbes, et qui est examiné lorsque de nouveaux investissements sont prévus. Les gouvernements de la région doivent prêter attention à l’évolution de ce processus, car le secteur privé, actuellement l’investisseur principal dans l’AFD, pourrait ne plus être disposé à continuer d’opérer dans les forêts naturelles à l’avenir. Bien que, pour certains, ce puisse être la solution, dans la plupart des zones de forêt, les communautés locales dépendent en grande partie des opérations de l’industrie du bois. Si cette industrie disparaît de la région, le gouvernement devra trouver une alternative économique, car la pauvreté aura tendance à augmenter et la forêt sera rapidement épuisée. Une alternative consisterait sans doute à combiner les opérations dans les forêts naturelles à la plantation dans des zones dégradées. C’est ce que le projet a identifié comme alternative à prendre en considération par le secteur privé. De toute manière, il semble y avoir des problèmes à résoudre sous les tropiques lorsqu’il s’agit de plantations. Les progrès technologiques relatifs aux plantations ont été concentrés ailleurs que sous les tropiques, ou du moins en dehors des zones tropicales humides.
Questions Commerciales Et Économiques Manque de marchés et distorsions des marchés Les résultats de cette étude donnent à penser que les coûts de l’AFD dans la région d’Amérique latine-Caraïbes auront tendance à être pour la plupart internalisés par le secteur privé. La plupart des gouvernements de la région ont de faibles ressources à investir et n’ont aucune volonté politique de trouver des solutions de remplacement. Par conséquent, le marché est un élément important, car c’est le seul qui puisse garantir la durabilité économique des entreprises. Les forêts tropicales sont très variables et renferment un assez grand nombre d’espèces de bois par unité de surface mais, pendant de nombreuses années, quelques-unes seulement de ces espèces ont été acceptées par le marché et régulièrement commercialisées. Dans quelques cas extrêmes, comme en Bolivie dans le passé, une seule espèce de bois (acajou) représentait plus de 60% de toutes les exportations, et 2 ou 3 espèces environ 90%. Il était possible d’opérer avec un nombre restreint d’espèces grâce aux prix élevés obtenus sur le marché, qui permettaient de faire face aux coûts extrêmement élevés des récoltes. De toute évidence, ces pratiques n’étaient pas durables et, dans plusieurs régions, la disponibilité des grumes commercialisables d’espèces destinées au marché a rapidement diminué. Ainsi, avec l’adoption de l’AFD, de nouvelles espèces ont dû être prises en considération. Accroître le nombre d’espèces permet des prélèvements plus abondants et réduit de ce fait les coûts de récolte. Néanmoins, peu des EMC sont acceptées sur le marché, l’introduction de nouvelles espèces est un investissement à long terme, et leurs prix inférieurs ne compensent pas les gains obtenus en réduisant les coûts de récolte. Certains pays ont mieux réussi que d’autres en termes de diversification des espèces. C’est en partie lié à l’esprit d’entreprise du secteur privé, mais cela dépend également des investissements faits (normalement par le secteur privé) ainsi que des problèmes logistiques (pour la plupart spécifiques du pays). Jusqu’à présent, les gouvernements de la région ont fait peu d’efforts pour promouvoir les EMC. Pratiquement toutes les réussites peuvent être attribuées aux efforts du secteur privé. Certains des biens et services qui pourraient aider à internaliser les coûts liés à l’adoption de l’AFD ne sont pas négociés sur les marchés. Le secteur privé estime en général qu’il existe de petites possibilités de voir les PFNL apporter une contribution significative, par exemple, au financement de l’AFD. L’AFD peut engendrer un certain nombre de bénéfices – protection de la biodiversité, piégeage du carbone, beauté des paysages, protection des bassins versants – mais ces biens et services ne sont pas négociés sur les marchés et, par conséquent, ne présentent généralement pas d’intérêt pour les opérations du secteur privé. En bref, les marchés ne tiennent pas compte de ces avantages à dégager de l’AFD, même s’ils sont mis à disposition. La seule option possible envisagée par le secteur privé est le piégeage du carbone dans les plantations. De toute manière, la gestion des forêts naturelles ne peut pas bénéficié des dispositions du Protocole de Kyoto. Pour le secteur privé, il est évident que le bois sera, du moins pendant les dix prochaines années ou plus, la seule source substantielle de revenus, et l’efficacité dans la chaîne de production est la seule option permettant d’internaliser
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les coûts additionnels résultant de l’adoption de l’AFD. Le rêve vendu au secteur privé, selon lequel la certification des forêts pourrait être une option valorisante, s’est évanoui. Pour ceux qui ont une place sur le marché, il est clair que la certification des forêts est une condition à remplir pour accéder à certains marchés et que les coûts encourus pour l’adopter doivent être, comme dans le cas de l’AFD, internalisés par le secteur privé. Les gouvernements des pays tropicaux de la région d’Amérique latine/Caraïbes, et de la plupart des pays tropicaux du monde, prennent les mesures nécessaires pour garantir des marchés aux produits ligneux. Les délibérations et les décisions au sein de forums internationaux sont en grande partie dominées par les consommateurs (pays développés). Par ailleurs, les pays tropicaux figurent en grande partie dans les programmes relatifs à l’environnement, où le commerce est considéré comme une question secondaire. D’autre part, dans la plupart des pays, le secteur privé opérant dans les forêts tropicales présente des faiblesses, est mal informé et n’est pas en mesure de persuader les gouvernements de jouer un rôle actif sur la scène internationale.
Coûts et risques plus élevés Il faut encore que, sur les marchés consommateurs, les acheteurs fassent largement preuve d’accepter de payer le prix des produits forestiers “verts” ou certifiés. En outre, étant donné que les périodes de temps que suppose l’AFD sont généralement plus longues que dans le cas de récoltes non durables, les risques peuvent être considérablement plus élevés. Dans les deux cas, les risques peuvent affecter les bénéfices. Dans les conditions actuelles du marché de la plupart des pays de la région d’Amérique latine/Caraïbes, la rentabilité de l’AFD est incertaine. En général, il semble que l’ “AFD ne paye pas” compte tenu des investissements du secteur privé (Gregersen et Hermosilla). Cette distorsion doit être prise en considération par le gouvernement local. En fait, des incitations à l’aménagement des forêts sont prévues dans plusieurs pays développés. Elles sont généralement associées aux questions sociales et environnementales, mais en définitive elles rendent les produits plus compétitifs sur le marché. Dans la région d’Amérique latine/Caraïbes, l’aménagement des forêts tropicales naturelles n’est possible que si le secteur privé est disposé à internaliser tous les coûts. Le manque d’incitations peut être associé aux ressources financières limitées des pays de la région, mais il est difficile d’expliquer pourquoi ces incitations sont prévues dans d’autres secteurs de l’économie. Même dans le secteur forestier, certains pays de la région prévoient des incitations pour des plantations forestières.
Insuffisances du marché pour les EMC/EMU La diversité des espèces ligneuses présente un problème pour l’AFD des forêts tropicales naturelles, ce qui crée un problème pour le marché. L’information dégagée des études de cas donne à penser que le nombre d’espèces ligneuses pouvant être récoltées varie considérablement dans la région, de sorte que la situation n’est pas uniforme pour toutes les entreprises de bois opérant en Amérique latine et aux Caraïbes. L’absence d’un marché pour les espèces moins connues (EMC)/espèces moins utilisées (EMU), a été l’un des facteurs responsables de l’échec de plusieurs investissements faits en foresterie dans la région. En fait, le marché est très sélectif en termes d’espèces, et n’exploiter que certaines espèces signifie de petits prélèvements par unité de surface, ce qui augmente les coûts de récolte. Exploiter un nombre restreint d’espèces est non seulement une contrainte du point de vue coûts, mais peut également représenter un problème dans l’exécution des plans de gestion forestière, si l’on veut que les critères définis pour l’AFD soient respectés. L’introduction de nouvelles espèces sur le marché est un problème réel. La solution n’est pas simple, notamment lorsque les questions commerciales sont en jeu. L’évolution des marchés a plusieurs facettes. Les forces du marché sont essentiellement basées sur la compétitivité du produit, compte tenu principalement de facteurs économiques (prix, modalités de paiement, livraison, disponibilité et qualité). Lancer un nouveau produit sur le marché est coûteux et c’est un exercice qui dépend largement des prix. Cela signifie que les nouvelles espèces n’entrent sur le marché que si le rabais offert encourage l’acheteur à essayer une nouvelle espèce.
Politiques gouvernementales et commerce Tandis que les contraintes finissent par entraîner des échecs ou des faiblesses sur les marchés, les facteurs qui conduisent à ces problèmes sont le plus souvent aggravés par de mauvaises politiques gouvernementales, la nonapplication des bonnes, et le fait que la société civile ne se soit pas fixé, au travers des politiques gouvernementales, des principes quant à l’utilisation des ressources naturelles du pays. Le secteur privé cherche à faire des bénéfices, mais l’AFD n’est peut-être pas aussi attrayant que d’autres possibilités d’investissement. Il y a souvent des moyens plus faciles et plus sûrs de faire des bénéfices comparables,
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que ce soit dans le cadre ou en dehors du secteur forestier. Ainsi, l’orientation principale devrait être de rendre la foresterie non durable moins rentable et l’AFD une option plus rémunératrice. Ce problème ne semble pas être régional, mais mondial. De toute manière, il ne suffit pas de rendre les forêts gérées plus attrayantes que les sources non durables. L’exploitation du bois n’est pas la seule affaires dans le monde, et les investissements afflueront dans d’autres secteurs si un élément minimal d’attraction n’entre pas en ligne de compte. Cela se produit d’ailleurs dans certains pays d’Amérique latine et des Caraïbes. Si la majeure partie du secteur privé opérant dans les forêts tropicales commence, pour quelque raison que ce soit, à revoir ses stratégies et à réorienter ses investissements vers d’autres secteurs, les gouvernements auront davantage de problèmes à résoudre dans l’avenir. Il est fondamental que le secteur privé parvienne à internaliser progressivement les coûts additionnels résultant de l’adoption de l’AFD pour garantir la durabilité économique de l’industrie des bois tropicaux. Cela n’est possible, en principe, que sur la base des mécanismes du marché, et le gouvernement doit donc prêter davantage d’attention aux politiques relatives au commerce, en vue de définir de meilleurs mécanismes susceptibles de promouvoir le commerce des bois tropicaux, et doit participer activement aux débats sur le commerce international.
Manque de finances du secteur privé Dans la plupart des pays de la région d’Amérique latine/Caraïbes, en particulier en Bolivie, au Brésil et au Pérou, de nouvelles lois et l’amélioration en matière d’application des lois ont contribué à l’adoption de l’AFD, mais on continue de s’interroger sur la durabilité économique du processus. Depuis l’adoption de la nouvelle loi forestière dans certains pays, comme en Bolivie et au Pérou, l’impact du transfert des coûts de l’AFD au secteur privé, l’application de normes excessivement élevés dans les pratiques forestières dès le début, ainsi que la création de plusieurs organismes de réglementation et une bureaucratie incontrôlée, sont maintenant autant d’éléments de l’équation à résoudre. En fait, il s’est créé un problème important à résoudre pour transformer des activités forestières en affaires viables. Dans la pratique, la nouvelle loi forestière en Bolivie, au lieu de soutenir l’AFD, a imposé aux secteurs privé et public un complément de nouveaux coûts, ce qui a nui aux activités forestières et à la Bolivie dans son ensemble. Les activités industrielles se sont effondrées après le passage de la nouvelle loi, les exportations de produits forestiers ont diminué depuis 1999 et les dettes du secteur privé sont montées en flèche. La Bolivie est une petite économie, mais elle possède de vastes espaces de forêt qui peuvent être gérés de manière durable et la foresterie peut jouer un rôle important dans le développement socio-économique. Le secteur forestier peut jouer un rôle important dans le pays et il n’y a aucun doute que la performance médiocre de l’industrie forestière ces dernières années a contribué à l’augmentation des problèmes sociaux et, par conséquent aussi, à l’instabilité politique du pays. Le Pérou est sur la même voie, et sera aussi confronté aux mêmes problèmes à l’avenir si les règlements en cours d’élaboration actuellement ne tiennent pas compte des leçons apprises en Bolivie. En principe, les gouvernements doivent reconnaître les efforts consacrés par de nombreuses entreprises à réaliser l’AFD. Tenir compte de l’expérience acquise par le secteur privé, celui qui est en réalité chargé de mettre en œuvre l’AFD, est une approche judicieuse. Le rôle du gouvernement est de rechercher la coopération et la conciliation entre les parties prenantes, et de défendre les vrais intérêts nationaux. En outre, les gouvernements doivent mettre en place avec efficacité un bon cadre juridique n’entraînant pas de coûts excessifs, sans perdre de vue que les entreprises ont besoin d’affronter la concurrence sur le marché international. Il est fondamental de suivre les discussions qui se déroulent au sein des forums internationaux pour parvenir à un accord sur les conditions requises et garantir l’accès du marché.
CONCLUSIONS ET RECOMMANDATIONS Sur la base des résultats de cette étude, et de recherches approfondies dans la littérature, sur le terrain ainsi que sur des études de cas, les conclusions principales suivantes peuvent être tirées:
Cadre juridique et progrès vers l’AFD Tous les pays d’Amérique latine et des Caraïbes ont accompli des progrès vers l’Objectif 2000 de l’OIBT. En général, les pays de la région ont mis au point un cadre national de lois, politiques et règlements pour régir la production, la conservation et la protection des forêts. Les orientations et les cadres juridiques, ainsi que leur mise en oeuvre, n’ont pas évolué de la même manière dans tous les pays de la région. En général, dans les pays où l’activité économique se déroule dans la forêt et où opère l’industrie du bois, la mise en place des moyens d’action et du cadre juridique a été plus rapide que dans les pays où ces activités sont moins importantes pour l’économie locale.
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Les efforts visant à promouvoir l’AFD au niveau national ont en général été coordonnés par les gouvernements des différents pays de la région, mais d’autres parties prenantes apportent également leurs efforts aux pays, notamment les organisations internationales, les ONG, les organismes de coopération bilatéraux et multilatéraux et le secteur privé. Pour plusieurs raisons, le secteur privé n’a pas activement participé au développement de la base sur laquelle appuyer l’adoption de l’AFD, et ne participe pas activement au débat et à la formulation des politiques nationales sur les forêts et les questions y relatives. Bien que ce soit une approche normale pour la plupart des gouvernements de la région lorsqu’il s’agit de politiques, lois et mesures de réglementation (quel que soit le secteur ou le sujet en cause), les pays sont perdants s’ils ne tiennent pas compte de l’expérience de la partie prenante la plus importante, celle qui effectivement met en oeuvre l’AFD. En général, le processus de formulation des politiques et du cadre juridique dans la région d’Amérique latineCaraïbes a été influencé en grande partie par la coopération internationale et les ONG. Dans de nombreux cas, ce processus a mené à la création d’un cadre de réglementation complexe.
Le secteur privé et l’AFD Bien qu’il existe certains problèmes, le secteur privé dans la région d’Amérique latine-Caraïbes a réalisé des progrès significatifs en direction de l’AFD au cours des dernières années. Le concept de durabilité a été assimilé par les entreprises, et la participation de celles-ci au processus de discussion s’accroît, bien qu’elle commence à se développer et qu’elle soit encore limitée par la plupart des gouvernements. Les conclusions de cette étude font ressortir que, du point de vue du secteur privé, les principales contraintes pour ceux qui veulent adopter l’AFD dans les forêts tropicales naturelles peuvent être regroupées dans les catégories suivantes: •
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Facteurs associés à la responsabilité des gouvernements Ils comprennent le cadre juridique national complexe et instable, les problèmes liés aux droits de propriété, de tenure des terres, à la définition des domaines forestiers permanents, aux faiblesses dans l’application des lois, et au manque de ressources humaines, de progrès scientifiques, d’information et de transparence. Facteurs associés aux questions économiques et commerciales Dans ce groupe, les principales contraintes comprennent les perspectives du marché pour les EMC/EMU, les politiques commerciales mondiales et la multiplication des obstacles au commerce des bois tropicaux, la concurrence des bois de plantation, l’internalisation des coûts, les options et les coûts de financement et le partage des avantages que procure l’environnement.
Les conclusions principales de cette étude, tirées dans l’optique du secteur privé, sont présentées ci-dessous. Il convient de noter que, dans certains cas, les facteurs liés aux responsabilités du gouvernement et les facteurs liés aux questions économiques et commerciales se chevauchent. L’application et le respect des lois se heurtent à des problèmes créés par la complexité du cadre juridique concernant la gestion forestière, en particulier dans les forêts tropicales naturelles, l’inefficacité générale des institutions intervenantes, la bureaucratie, le niveau très élevé des normes proposées, en plus du processus de décentralisation et du manque de ressources humaines. Il en résulte en fin de compte une augmentation substantielle de coûts. Cela confirme l’augmentation des cas d’illégalité et de corruption. En règle générale, les gouvernements de la région ont peu de possibilités d’investir dans la promotion de l’AFD (et/ou ont d’autres priorités). En conséquence, dans pratiquement tous les pays, les coûts additionnels entraînés par l’adoption de meilleures pratiques et ceux du maintien en service d’un système inefficace de suivi et de contrôle sont maintenant à la charge du secteur privé. En somme, la conclusion tirée des résultats de cette étude veut dire qu’en fait le problème ne découle pas d’un manque d’orientation et de cadre juridique, mais de la complexité et des difficultés de la mise en œuvre de ceux-ci. Pour le secteur privé, l’avenir apparaît incertain. Il envisage en général que les coûts de l’AFD continueront d’augmenter au cours des prochaines années, et cette perception se fonde sur le fait que de nouvelles questions auront tendance à se greffer sur le concept de durabilité et que d’autres améliorations en matière d’exploitation et de protection des forêts seront exigées. Les gouvernements de la région ont en théorie défini les domaines forestiers permanents. Selon le pays, les domaines forestiers peuvent, dans la majorité des cas (ou seulement), appartenir soit au gouvernement soit à la fois au gouvernement et au secteur privé. Dans la pratique, dans la plupart des pays, les droits de propriété (quel que soit le propriétaire) ne sont pas respectés. Il semble que l’exploitation illégale soit un problème beaucoup plus grand sur les terres forestières du gouvernement que sur les terres privées, à cause d’une certaine incapacité du gouvernement de se garantir des droits de jouissance. Les terres appartenant au gouvernement finissent par devenir la source principale des grumes illégales fournies à l’industrie du bois.
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Les droits de propriété des forêts privées ne sont pas souvent respectés. Il est clair que les pressions sociales, couplées aux déficiences de l’imposition des lois, posent des problèmes dans la plupart des pays en ce qui concerne la sécurisation des droits de propriété. En outre, les décisions du gouvernement, lorsqu’il assigne des terres privées à d’autres utilisations (pour répondre à des pressions sociales ou pour des raisons écologiques), créent un sentiment d’instabilité quant aux droits de propriété, ce que confirme la réduction des investissements du secteur privé dans l’AFD. Les ressources humaines, à tous les niveaux (de la gestion à l’opérateur de terrain) posent des problèmes dans pratiquement tous les pays de la région. Le secteur privé estime que ce problème devrait relever des responsabilités du gouvernement. Les entreprises de grande échelle ont trouvé des solutions mais ce sont les petites et moyennes entreprises (la grande majorité) qui en souffrent. La plupart des efforts de renforcement des capacités ont été concentrés dans la gestion forestière. Dans ce secteur, la coopération internationale a été importante. Malgré les progrès réalisés, le secteur privé a conclu que ce n’était pas suffisant. Cette conclusion se fonde sur le fait qu’une forêt bien gérée ne survivra pas si la durabilité économique n’est pas assurée et, à cette fin, il est nécessaire d’améliorer la gestion et les opérations dans toute la filière, de la forêt au marché. Des progrès scientifiques en matière d’aménagement des forêts naturelles ont été faits dans plusieurs pays mais il reste beaucoup plus à faire, et les gouvernements de la région ont très peu investi dans ce domaine. Là aussi, les organisations internationales ont contribué, mais cette contribution n’est pas efficace, car les priorités des pays ne correspondent parfois pas à celles des donateurs et de plus, dans beaucoup de cas, l’approche par projet n’est pas durable. La recherche est un problème, mais en fait le problème principal semble être lié au transfert des résultats de la recherche au secteur privé, l’acteur principal dans la mise en oeuvre de l’AFD au niveau du terrain. Les résultats de cette étude indiquent clairement que le secteur privé est le principal responsable du financement de l’AFD dans la région. Il n’existe aucun mécanisme d’incitation ou de financement permettant de soutenir les investissements et de partager les coûts liés à l’adoption de l’AFD. L’adoption de bonnes pratiques et la conformité à toute la gamme des prescriptions définies par la loi, et à leur complexité, ont été limitées par le fait que la plupart des entreprises opérant dans les forêts tropicales naturelles sont de petite échelle. En fait, cela a contribué à compromettre la durabilité, de sorte que les opérations peuvent en majorité, théoriquement (aux termes du cadre juridique actuel), être classées dans la catégorie “illégales”, malgré les efforts consacrés à l’amélioration progressive des pratiques forestières. Vu ces circonstances, on peut sérieusement s’interroger sur l’avenir de la plupart des entreprises opérant dans les forêts tropicales naturelles de la région d’Amérique latine/Caraïbes. Les obstacles croissants du marché et les initiatives telles que FLEGT dans l’UE auront tendance à réduire les options des petites et moyennes entreprises (la grande majorité) sur le marché international. Le problème ne sera certes pas résolu si les petites et moyennes entreprises sont obligées de fermer. Les illégalités doivent être vues dans une optique plus large, et le fait que la conformité aux prescriptions légales liées aux opérations forestières n’est pas totalement satisfaite, n’est probablement pas le principal des problèmes. Les entreprises de plus grande envergure ont pu trouver des solutions pour internaliser les coûts additionnels. Ces entreprises utilisent leurs propres fonds et ressources pour accroître la productivité et, en recourant au marché, pour se garantir les ressources financières nécessaires. L’exploitation d’espèces moins connues/utilisées (EMC/EMU) et les possibilités de valorisation sont les principales questions envisagées par le secteur privé dans ses stratégies visant à internaliser les coûts liés à l’adoption de l’AFD. En augmentant le nombre d’espèces de bois, il est possible de réduire les coûts de récolte et les pressions qui pèsent sur les espèces de bois précieuses/traditionnelles. La valeur ajoutée est l’option permettant d’introduire effectivement de nouvelles espèces sur le marché. Certains efforts du secteur privé d’introduire de nouvelles espèces de bois et de les valoriser se sont soldés par des succès, mais il faut reconnaître que les coûts sont élevés et que les changements prennent beaucoup de temps. En ce qui concerne le secteur privé de la région d’Amérique latine/Caraïbes, les gouvernements en viennent à la conclusion qu’il est le principal (sinon le seul) agent économique capable d’internaliser des coûts additionnels liés à l’adoption de l’AFD. Cela signifie que la priorité doit être accordée à la durabilité économique des opérations. C’est une condition préalable à remplir pour répondre aux critères environnementaux et sociaux convenus. Tous les aspects précédemment discutés sont extrêmement pertinents et leur impact sur la durabilité économique des opérations varie selon les pays, les conditions locales et les entreprises. Malgré le fait que l’avenir de l’AFD continuera d’être fortement influencé par la capacité d’investissement du secteur privé, il y a des facteurs intra et inter sectoriels qui dépendent en grande partie des gouvernements.
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Parmi les actions stratégiques les plus pertinentes que les gouvernements peuvent envisager en vue de créer les conditions susceptibles de faciliter l’adoption de l’AFD, on peut citer: •
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Création d’un climat d’investissement stable et net Les activités forestières ne sont durables que si l’on envisage des investissements à long terme. En particulier, dans la région d’Amérique latine/Caraïbes, les garanties d’accès aux ressources forestières (y compris les aspects liés aux domaines forestiers permanents, aux droits de propriété et à la jouissance des terres) sont parmi les plus importants moyens d’attirer des investissements privés pour l’AFD. Un cadre juridique stable, et en particulier l’imposition de la loi, sont également d’un intérêt particulier pour améliorer le climat d’investissement. Par ailleurs, la stabilité économique, politique et légale ainsi que la transparence sont indispensables. Réduction des coûts de transaction Les opérations du secteur forestier, en particulier celles qui se rapportent aux bois tropicaux, sont de plus en plus coûteuses dans la plupart des pays de la région. Les bénéfices et les investissements diminuent et la durabilité économique est remise en cause.
Les gouvernements de la région doivent chercher d’autres solutions et trouver des moyens de rendre plus efficaces et le plus simple possible pour le moment le cadre de réglementation et la bureaucratie, tout en apportant une très précieuse contribution dans la plupart des pays. Il existe, dans les pays de la région, d’autres coûts de transaction, communs à tous les domaines des affaires, que les gouvernements des pays pourraient examiner en vue de rendre plus compétitif le pays dans son ensemble. À un autre niveau, le secteur public pourrait prendre plusieurs autres initiatives pour encourager les investissements privés dans l’AFD des forêts tropicales dans la région d’Amérique latine/Caraïbes. Une possibilité à envisager serait de concevoir des mécanismes incitatifs pour faciliter l’adoption de l’AFD et accroître la compétitivité du secteur privé. Ces mécanismes devraient être conçus de manière à catalyser et accélérer le processus d’adoption de meilleures pratiques forestières, et pourraient même être considérés dans le concept d’un partenariat entre secteurs public et privé (PPP), tel que le mécanisme actuellement à l’étude pour d’autres secteurs de l’économie dans plusieurs pays. Tout en agissant au niveau national, les gouvernements de la région d’Amérique latine-Caraïbes devront faire un effort concerté pour participer aux forums internationaux. S’agissant de forêts tropicales et de production et commerce des bois tropicaux, il serait bon que cette participation soit de préférence coordonnée avec d’autres pays producteurs de bois tropicaux. D’après les débats qui se déroulent au sein d’instances internationales, tout semble indiquer que de nouvelles barrières commerciales et de nouveaux obstacles au marché seront proposés. En conclusion, il est d’une importance exceptionnelle que les gouvernements prennent en considération toutes les parties prenantes, en particulier le secteur privé, lorsqu’ils arrêtent une stratégie à long terme et un plan d’action visant à défendre les intérêts réels des pays et à promouvoir l’adoption de l’AFD. Il ne faut négliger ni l’expérience ni la capacité financière du secteur privé.
RESUMEN ANALÍTICO INTRODUCCIÓN El proyecto PD 48/99 Rev.1 (M,F): “Intercambio de información y experiencias sobre casos exitosos del sector privado en materia de ordenación forestal sostenible” se formuló de conformidad con el Objetivo del Año 2000 establecido por el Consejo Internacional de las Maderas Tropicales (CIMT) en su vigésimo noveno período de sesiones. El proyecto tuvo su origen en la necesidad apremiante de recopilar, compilar y analizar información a nivel mundial sobre las experiencias de ordenación forestal sostenible (OFS) con el fin de fomentar la aplicación de las “mejores prácticas” en el sector privado de los países productores de maderas tropicales. El objetivo del proyecto es ofrecer un mecanismo para estudiar y difundir la información sobre casos exitosos de OFS a nivel empresarial. El proyecto PD 48/99 Rev.1 (M,F) tiene cobertura mundial. Abarca los países productores de la OIMT, agrupados en tres regiones principales: África, Asia y América Latina/Caribe. El presente informe se refiere únicamente a la región de América Latina y el Caribe.
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EL CONCEPTO DEL DESARROLLO SOSTENIBLE Y LA OFS Definiciones Y Dimensiones De La Región De América Latina Y El Caribe En las últimas dos o tres décadas, se formularon diversas definiciones o conceptos de OFS. La OIMT define la OFS de la siguiente manera: “La ordenación forestal sostenible es el proceso de manejar los bosques para lograr uno o más objetivos de ordenación claramente definidos con respecto a la producción de un flujo continuo de productos y servicios forestales deseados, sin reducir indebidamente sus valores inherentes ni su productividad futura y sin causar indebidamente ningún efecto indeseable en el entorno físico y social.” Cuando el concepto de OFS se debate en un sentido amplio, existe un alto grado de concertación entre las diversas partes. Sin embargo, cuando se tratan situaciones específicas, aumentan las discrepancias entre los distintos interesados debido a que tienen diferentes objetivos e interpretaciones en la evaluación de los diversos requisitos relativos a los bosques, tales como: i) la preservación de la biodiversidad; ii) el mantenimiento de la productividad económica; iii) el respeto por la equidad entre generaciones; iv) la responsabilidad por las necesidades sociales y culturales; v) la protección de suelos y cauces; vi) la protección de los valores de los pueblos indígenas y las comunidades rurales; vii) la recreación; viii) la preservación de los valores existentes; ix) los valores del paisaje; y x) otros aspectos. La explotación forestal selectiva aún sigue siendo la práctica de manejo forestal predominante en la región de América Latina y el Caribe y normalmente se basa en una serie de criterios tales como la selección de especies y/o la aplicación de diámetros mínimos de corta. Si bien la necesidad de instaurar regímenes de ordenación forestal ha sido reconocida en todo el mundo, su nivel de aplicación varía enormemente y con frecuencia es muy limitado. Entre los motivos principales del lento progreso realizado en la adopción de prácticas de OFS, se destacan los siguientes: i) La extrema cautela de los gobiernos con respecto a un concepto muy nuevo de manejo forestal que los responsabiliza a largo plazo sin la posibilidad de remitirse a resultados previamente comprobados; ii) La falta de entusiasmo de muchas empresas, que tampoco ven ningún motivo para cambiar sus prácticas actuales de aprovechamiento forestal si no se les ofrece ninguna garantía; iii) Un conocimiento técnico insuficiente de la regeneración natural del bosque, lo que ha llevado a estrictas restricciones silvícolas; iv) El peso y la severidad de las limitaciones impuestas a la extracción (número de especies por extraer, corta duración de las operaciones de extracción, tratamientos silvícolas requeridos, etc.), que, a la larga, pueden poner en riesgo la situación financiera de la empresa; v) La urgencia de los problemas sociales causados por la colonización, a menudo ilegal, de las zonas boscosas; vi) El limitado desarrollo de los mercados de madera y productos manufacturados producidos con especies secundarias o menos conocidas (EMC); vii) La falta de definición de los derechos de tenencia y cambios en las “reglas del juego” a través de legislación nueva y actualizada; viii) Las dificultades asociadas con la determinación de los costos y beneficios generales de la ordenación forestal.
Criterios E Indicadores Para La Ofs E Iniciativas De Certificación /Etiquetado Ecológico Los criterios e indicadores constituyen un medio para medir, controlar y demostrar el progreso alcanzado hacia la sustentabilidad de la ordenación forestal en un país determinado o en una zona boscosa específica durante un período de tiempo. Los criterios e indicadores más pertinentes para la OFS en la región de América Latina y el Caribe son los fijados a través de las siguientes iniciativas: i) el Tratado de Cooperación Amazónica – TCA (Proceso de Tarapoto relacionado con la formulación de criterios e indicadores para la sustentabilidad de la Selva Amazónica); ii) el Proceso de Lepaterique de Centroamérica; iii) los criterios de la OIMT para evaluar la ordenación sostenible de los bosques tropicales; y iv) el Centro de Investigación Forestal Internacional (CIFOR). La certificación forestal es un instrumento utilizado para confirmar el cumplimiento de ciertos niveles mínimos prefijados de ordenación forestal en un bosque determinado y en un momento dado. Uno de los sistemas reconocidos de certificación de bosques tropicales es el del Consejo de Gestión Forestal (FSC). En la región de Latinoamérica y el Caribe, el FSC es el único sistema de certificación adoptado para superficies extensas de bosque, pero algunas otras iniciativas más recientes están adquiriendo cada vez más importancia, por
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ejemplo el CERFLOR de Brasil. En todo el mundo, se han adoptado otros sistemas de certificación pertinentes, como el PEFC en Europa y la Iniciativa Forestal Sostenible en EE.UU.
Sistema de Certificación del FSC El FSC se creó en 1993 para apoyar un manejo ecológicamente apropiado, socialmente beneficioso y económicamente viable de los bosques del mundo. El FSC alienta y apoya las iniciativas nacionales y regionales compatibles con su misión. El objetivo del Programa de Iniciativas Nacionales del FSC es descentralizar sus labores y fomentar la participación en el plano local. En la región de América Latina y el Caribe, se están ejecutando iniciativas nacionales del FSC en Argentina, Bolivia, Brasil, Colombia, Ecuador y Perú. Desde 1993, la superficie de bosques certificados por el FSC a nivel mundial (incluyendo bosques naturales y plantaciones) ha crecido de algo más de 0,5 millones de hectáreas a más de 40 millones en 2003. Si bien la extensión de 40 millones de hectáreas suena impresionante, cuando se la coloca dentro del contexto mundial de la superficie de bosques certificados por el FSC, sólo representa el 1% de la cobertura boscosa mundial (3.869 millones de hectáreas). La extensión de bosques certificados por el FSC en los países productores de la OIMT de la región de América Latina y el Caribe asciende a aproximadamente 2,9 millones de hectáreas, lo cual representa el 7,3% de la superficie total certificada por el FSC en todo el mundo. En particular, en los países productores de la OIMT de la región de Latinoamérica y el Caribe, los bosques naturales certificados por el FSC representan alrededor del 67% de la superficie certificada total, mientras que las plantaciones constituyen el 32% y el restante 1% corresponde a formaciones mixtas (bosques plantados y naturales). La superficie de bosques certificados por el FSC en la región representa menos del 0,4% del área boscosa total de los países de América Latina y el Caribe.
Sistema de certificación CERFLOR El Sistema Brasileño de Certificación Forestal (CERFLOR) se inició a fines de los años ochenta, pero el progreso alcanzado en el pasado fue lento. Ahora el sistema se está aplicando para las plantaciones forestales y la primera unidad de ordenación forestal fue certificada a principios de 2003. En 2004, se prevé completar la ampliación del sistema para cubrir los bosques tropicales naturales. La superficie de bosques certificados por CERFLOR asciende a 50.000 ha. Actualmente, el sistema está procesando la certificación de una superficie total de alrededor de 165.000 ha, que probablemente obtengan el certificado a fines del primer semestre de 2004. Existen algunas iniciativas internacionales relacionadas con las posibilidades de reconocimiento mutuo entre los diferentes sistemas de certificación nacionales e internacionales, inclusive el CERFLOR. Por ejemplo, la Mesa Redonda Internacional sobre las Industrias Forestales (IFIR) emprendió la tarea de establecer normas generales para el proceso de reconocimiento mutuo. El CERFLOR recientemente se unió al proceso europeo de certificación PEFC. Con ello y unos reajustes introducidos en el sistema, se facilitará el reconocimiento internacional del sistema brasileño.
SITUACIÓN FORESTAL REGIONAL Cobertura Boscosa Los países productores de la OIMT en la región de América Latina y el Caribe cubren una extensión total de aproximadamente 1.225 millones de hectáreas y algo más del 66% de este territorio (807 millones) está cubierto por bosques tropicales. La superficie de bosque tropical en la región de América Latina y el Caribe comprende el 21% de la extensión total de los bosques del mundo y la Selva Amazónica representa la mayor concentración de bosques tropicales del planeta. La superficie de plantaciones forestales de los países productores de la OIMT en América Latina-Caribe es relativamente pequeña (7,1 millones de hectáreas) y representa el 4% de la extensión total de plantaciones a nivel mundial. Las plantaciones forestales de la región se concentran principalmente en Brasil (70%).
Producción De Madera En Troza Tropical La producción anual total de madera en troza tropical de los países productores de la OIMT en la región de América Latina y el Caribe comprende aproximadamente el 30% de la producción mundial. En 2002, la producción de madera rolliza tropical en la región fue de alrededor de 35,9 millones de metros cúbicos, que se utilizaron en su mayor parte a nivel local para la producción de madera aserrada.
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La Deforestación Y Sus Causas En las últimas dos décadas, la región de América Latina y el Caribe ha sufrido un proceso de deforestación y degradación forestal. El cambio de la cobertura boscosa (deforestación) de los países productores de la OIMT en la región se estima en el orden de los –3,5 millones de hectáreas por año. Guatemala, Panamá y Ecuador tienen las tasas anuales más altas de deforestación. La principal causa de la deforestación en la región latinoamericana está asociada con la expansión de la frontera agrícola y la actividad pecuaria permanente. Existen también otros aspectos que pueden considerarse determinantes, en parte, del problema de la deforestación en la región, por ejemplo: i) los sistemas de tenencia de tierras; ii) la explotación maderera; y iii) la construcción de infraestructura como caminos o carreteras. Los efectos de la deforestación, la degradación forestal y los incendios forestales ocasionan una pérdida permanente de la capacidad potencial de los recursos forestales para producir beneficios económicos. Estos impactos son más severos en algunos países que en otros. La mayoría de los países caribeños han agotado sus recursos forestales a tal punto que ahora deben importar productos forestales, creándose así una necesidad adicional de divisas. En los países con una extensa base de recursos forestales, tales como Brasil, Perú y Bolivia, la deforestación ha tenido un impacto general menor, aunque a nivel local también puede ser significativo.
Áreas Protegidas Los países productores de la OIMT en la región de América Latina y el Caribe han reconocido la importancia ecológica de sus bosques mediante el establecimiento de áreas protegidas, básicamente a través de: i) parques nacionales y áreas recreativas; ii) reservas forestales y biológicas; iii) zonas de protección ambiental; iv) reservas indígenas; v) zonas ecológicas; vi) santuarios naturales; vii) monumentos nacionales; y viii) otras categorías. La superficie de áreas protegidas en los países productores de la OIMT de Latinoamérica /Caribe se estima en alrededor de 172 millones de hectáreas, que representa aproximadamente el 14% del territorio total de la región. Pese a la extensa superficie de bosques protegidos de la región de América Latina y el Caribe, cabe mencionar que muchas de las áreas protegidas no se establecieron siguiendo un proceso de planificación exhaustiva. Algunos sectores de las áreas protegidas en muchos países de la región están sujetos a graves deficiencias administrativas, lo que ocasiona problemas tales como la extracción ilegal de madera o la ocupación ilegal de tierras, entre otros.
Participación Del Sector Privado En La Ofs No hay duda de que el sector privado es el principal inversionista del proceso de OFS en la región de América Latina y el Caribe, pero los gobiernos tienen también una función que cumplir para atraer una mayor cantidad de fondos privados a fin de mejorar las prácticas forestales. En general, se reconoce que los fondos públicos disponibles a nivel nacional, especialmente en los países en desarrollo, incluso si se los combina con los recursos de la cooperación internacional, no son suficientes para ayudar al sector privado a poner en práctica la OFS. Si bien los gobiernos y el sector privado han acordado varias normas para llevar a cabo la ordenación forestal sostenible, parecería que la mayoría de los gobiernos han subestimado la necesidad de fondos nuevos y adicionales para el desarrollo de este proceso, dejando al sector privado la responsabilidad de procurar dichos fondos para financiar sus actividades de manejo forestal sostenible. Además, ahora también se le está pidiendo al sector privado que respalde los crecientes gastos gubernamentales vinculados a una reglamentación excesiva y la expansión de la administración estatal. De este modo, el sector privado de América Latina-Caribe termina pagando el doble. La empresa privada no está dispuesta a cargar con todos los gastos (o no cuenta con los medios para hacerlo) y, como resultado, se dispone de menos fondos para poner en práctica el proceso de OFS y aumentan las actividades informales (extracción ilegal de madera). Cada vez se necesitan más fondos para las actividades de control y supervisión y el sector privado tiene menos dinero para invertir en la aplicación de la OFS en el terreno.
Políticas Y Leyes Forestales Orientadas A La Ofs Muchos gobiernos de todo el mundo han adoptado medidas para orientar sus políticas forestales hacia la conservación y ordenación sostenible de sus bosques. La mayoría de los países de la región de América Latina y el Caribe han formulado políticas, ya sea explícita o implícitamente en su legislación, que demuestran una inquietud por mantener los recursos forestales. En tal respecto, cabe destacar que muchos países no cuentan con políticas y leyes forestales correctamente estructuradas. Las medidas encaminadas a prohibir o limitar la conversión de las tierras forestales, los incentivos para la forestación y la ordenación de bosques naturales, la creación y el mantenimiento de extensas áreas silvestres protegidas, la promulgación de diversas disposiciones legales orientadas a proteger o reglamentar el uso de los
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recursos, los programas de protección contra incendios, los estudios sobre indicadores de la ordenación sostenible y la certificación forestal, y la formulación de programas forestales nacionales, entre otros, prácticamente constituyen el común denominador de las políticas forestales de la mayoría de los países de Latinoamérica y el Caribe. Otro componente importante de las políticas forestales de esta región es la creciente incorporación de múltiples grupos de interés en su formulación, inclusive instituciones no gubernamentales, grupos étnicos, comunidades rurales, grupos ecologistas, organizaciones internacionales y otros interesados. Esta evolución se produjo como respuesta al creciente interés de la sociedad en los bosques y el uso de los recursos naturales y en todos los beneficios ambientales derivados de los mismos. En consecuencia, algunos temas tales como el pago de servicios ambientales, el secuestro de carbono y otros, que trascienden ampliamente la esfera de los actores tradicionales del sector forestal, están adquiriendo una importancia cada vez mayor.
Incentivos Y Mecanismos De Financiación Para La Ofs Para algunos países de la región de América Latina y el Caribe, los incentivos y mecanismos de financiación encaminados al establecimiento de plantaciones forestales son un problema prácticamente resuelto. Sin embargo, la región no cuenta con este tipo de instrumentos para incentivar la ordenación de los bosques naturales. Pese a tener varios problemas que inhiben y continuarán inhibiendo las inversiones del sector privado en la ordenación sostenible de los bosques tropicales, la mayor parte de los recursos financieros que actualmente se invierten en este ámbito provienen de fuentes privadas. La solución exige la concertación de todas las partes interesadas (gobiernos, organismos de cooperación internacional, sector privado y sociedad civil). Se debe reconocer que la empresa privada ya desempeña un papel importante en la financiación de la OFS, pero todavía puede hacer más. No existe una solución sencilla, pero el principio básico es claro: si el sector privado tiene que aumentar su contribución a la financiación de la OFS, los gobiernos y otros interesados deben crear el clima necesario para las inversiones. Se necesitan inversiones para mejorar el rendimiento y la competitividad en el mercado. Al fin y al cabo, el mercado constituye la principal fuente de fondos para financiar la OFS. Es preciso establecer incentivos para catalizar la adopción de medidas y mejorar el rendimiento, pero para que se pueda sustentar el proceso es necesario que se cumplan otras condiciones. Entre estas condiciones, se incluyen, por ejemplo, reglamentos adecuados, estables y transparentes; estabilidad económica y política; y garantía de acceso a los recursos forestales y a los mercados.
RESULTADOS DEL PROYECTO El proyecto se llevó a cabo en tres etapas, a saber: i) cuestionario Q500; ii) cuestionario Q20; iii) informe regional final.
Primera Etapa – Cuestionario Q500 La primera etapa del proyecto comprendió una encuesta de empresas sobre la OFS orientada a obtener 150 cuestionarios Q500 completados en los países miembros productores de la OIMT de la región de América Latina y el Caribe. En el Cuadro 01 se presentan los resultados generales de la encuesta (cuestionario Q500) realizada en los países de Latinoamérica y el Caribe. Se enviaron un total de 852 cuestionarios a las empresas de la región, de las cuales respondieron 69, un nivel de respuesta bastante bajo teniendo en cuenta todos los esfuerzos realizados. Mediante comunicaciones con las empresas, fue posible determinar los motivos del bajo índice de respuestas al cuestionario Q500. Éstos incluyen: i) el reducido número de empresas activas, especialmente en países relativamente pequeños como los de Centroamérica; ii) la longitud del cuestionario (6 páginas) y, en especial, el número de preguntas formuladas; iii) la dificultad experimentada para completar el cuestionario en formato electrónico (Excel) debido a problemas para acceder a los campos de datos; iv) la falta de personal técnico dentro de las empresas con capacidad para responder el cuestionario; v) la falta de información inmediatamente disponible en algunas empresas; vi) la desconfianza de algunas empresas que sospechaban que podrían recibir una inspección de los organismos pertinentes gubernamentales o no gubernamentales en base a la información contenida en la encuesta; y vii) la falta de interés en el tema por parte de las empresas.
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Cuadro 01.
Respuestas al cuestionario Q500 recibidas de los países miembros productores de la OIMT en la región de América Latina /Caribe País
Número total de empresas contactadas
Número de respuestas recibidas
% de respuestas obtenidas
BRASIL BOLIVIA COLOMBIA ECUADOR GUATEMALA GUYANA HONDURAS PANAMÁ PERÚ SURINAME TRINIDAD Y TOBAGO VENEZUELA
232 67 101 59 89 10 52 6 156 9 25 46
40 7 5 6 1 1 2 2 3 --2
17 10 5 10 1 10 4 33 2 0 0 4
TOTAL
852
69
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De todos modos, el análisis de los cuestionarios respondidos reveló un nivel razonablemente alto de calidad de las respuestas. Prácticamente el 80% de los cuestionarios Q500 respondidos se completaron casi en su totalidad, mientras que al 20% restante le faltaban las respuestas de varias preguntas, pero seguían siendo suficientes para satisfacer las necesidades del proyecto. Es importante señalar que se recibieron otros cinco cuestionarios Q500 completados, pero no se los tuvo en cuenta porque las operaciones de las empresas en cuestión se encontraban fuera del alcance del proyecto. Sobre la base de las respuestas recibidas al cuestionario Q500, se pueden formular los siguientes comentarios: •
•
•
•
•
•
Tipo de empresas: un 97% de las 69 empresas son de propiedad privada y la mayoría de ellas son de pequeña o mediana escala. Las restantes son empresas conjuntas del gobierno y empresarios privados. No se identificó ninguna empresa estatal. Integración de actividades: en el 91% de las empresas encuestadas, la zona forestal (ya sea propiedad privada o concesión) está integrada con las instalaciones industriales. Sin embargo, estos datos no pueden generalizarse para toda la región. Deben tenerse en cuenta algunas características específicas, lo cual significa que el manejo sostenible de los bosques tropicales de América Latina /Caribe ha estado en manos principalmente de empresas madereras con una integración vertical (bosque + industria + comercio). La mayoría de las empresas madereras de la región de Latinoamérica y el Caribe no están integradas, debido a que la mayoría de ellas son de pequeña escala con un bajo nivel de capitalización. Ordenación forestal: el 94% de las empresas encuestadas tienen un plan de manejo forestal. No obstante, sólo el 54% de estos planes son compatibles con las directrices de la OIMT para la “Ordenación sostenible de los bosques tropicales naturales” y la “Conservación de la diversidad biológica en los bosques tropicales de producción”. Cabe destacar que el 41% de las empresas encuestadas no conocían las directrices de la OIMT. Según los resultados del cuestionario Q500, el principal sistema de manejo practicado por las empresas es “selectivo” (65%), seguido por el sistema de “cortas sucesivas” (42%), “tala rasa” (12%) y sistemas “ad hoc” (9%). Explotación maderera: la mayoría de las empresas que operan en la región de América Latina /Caribe basan su explotación en planes de extracción (83%). El único sistema de extracción utilizado es el “arrastre con tractor”. Asimismo, es evidente que la mayoría de las empresas forestales que emplean planes de extracción utilizan técnicas de impacto reducido (EIR). Conservación de la biodiversidad: el 43% de las empresas encuestadas tienen especies amenazadas en sus zonas forestales. Además, en el 87% de los casos no se permite ningún tipo de caza (lo cual de cierta forma contribuye a la preservación de las especies amenazadas). Asimismo, el 70% de las empresas encuestadas tienen áreas reservadas con fines de conservación o protección. Utilización de productos forestales no maderables (PFNM): sólo el 20% de las empresas encuestadas producen PFNMs, especialmente plantas medicinales, frutos y nueces. Si bien estos productos son menos importantes que la madera, tienen una participación significativa en el mercado de productos forestales de algunos países, por ejemplo, en Bolivia (castaña).
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•
•
•
•
•
•
Servicios forestales, recreación y ecoturismo: la mayoría de las empresas encuestadas (64%) ofrece algún tipo de servicio forestal. Los principales servicios de este tipo provistos por las empresas son: conservación, protección, educación y refugio de fauna silvestre. A los servicios de recreación y secuestro de carbono se les da menos importancia. Aspectos sociales: la mayoría de las empresas forestales encuestadas ofrecen algún tipo de beneficio social para sus empleados y para la comunidad en cuestión. El beneficio más común es el alojamiento (70%). En segundo lugar, se ubica la atención médica (62%), seguida por el suministro de agua (49%), electricidad (43%) y educación (28%). Productos madereros: más de la mitad de las empresas encuestadas (56%) producen madera aserrada. Los contrachapados constituyen también un importante producto fabricado en la región (31%). Pese al amplio interés existente, sólo el 23% de las empresas encuestadas fabrican productos madereros secundarios (tableros para pisos, molduras, muebles y otros). Seguridad y aplicación de la ley: el 81% de las empresas indicaron no haber estado involucradas en procesos judiciales por violación de leyes forestales en los últimos años. Esta situación se da gracias al firme compromiso de las empresas en relación con el cumplimiento de la ley forestal nacional vigente y, por ende, la adopción de mecanismos orientados a la OFS. Investigación y desarrollo (I&D): el 51% de las empresas encuestadas lleva a cabo algún tipo de actividad de I&D. La cooperación internacional ha sido muy importante en materia de investigación forestal. Se reconoce que sin la cooperación de los países desarrollados e instituciones internacionales, el progreso hacia la ordenación sostenible de los bosques tropicales sería muy lento y su logro, distante. Este hecho se pone de manifiesto al analizar los datos de la encuesta, ya que el 57% de los proyectos de I&D ejecutados por las empresas cuentan con financiación externa. Certificación: sólo el 19% de las empresas encuestadas tienen un bosque certificado, mientras que el 78% no posee ningún tipo de certificación. Los resultados de la encuesta muestran que la situación está mejorando en este respecto. Alrededor del 62% de las empresas forestales no certificadas participantes en la encuesta indicaron su propósito de tramitar la certificación forestal en un futuro próximo.
Segunda Etapa – Cuestionario Q20 Sobre la base del análisis de los resultados del cuestionario Q500 y los criterios fijados por el proyecto, se seleccionaron nueve empresas para su evaluación en una segunda etapa. De estas nueve empresas, cuatro se encuentran en Brasil, tres en Bolivia, una en Colombia y una en Ecuador. A cada una de las empresas seleccionadas se les envió el cuestionario Q20. El análisis de los datos recopilados a través de este cuestionario reveló una alta calidad de respuestas. Los cuestionarios Q20 fueron completados en su mayor parte por el consultor regional con la colaboración de los representantes de las empresas seleccionadas que fueron visitadas. Prácticamente todos los cuestionarios Q20 respondidos fueron completados casi en su totalidad. Conforme al éxito alcanzado en la aplicación de la OFS desde el punto de vista financiero, comercial y ecológico, así como otros criterios específicos de selección, se escogieron las siguientes empresas para realizar los estudios de casos específicos: • • • •
Empresa Agroindustrial LA CHONTA Ltda; GUAVIRÁ Industrial e Agroflorestal Ltda; ORSA Florestal S.A.; CIKEL Brasil Verde S.A.
Tercera Etapa – Estudios De Casos La tercera etapa del proyecto comprendió la preparación de estudios de casos específicos. En esta sección del informe, presentamos una breve reseña de los casos estudiados.
La Chonta La Chonta es una empresa privada boliviana que administra 220.000 ha de bosques tropicales distribuidos en dos concesiones (tierras forestales gubernamentales) situadas en las regiones de Guarayos y Bajo Paraguá, en el centrooeste de Bolivia. La empresa emplea a 350 personas y sus ingresos anuales ascienden a alrededor de cuatro millones de dólares estadounidenses. A partir de 1997, de conformidad con la nueva Ley Forestal de Bolivia, la empresa decidió adoptar un nuevo enfoque y comenzó a manejar sus concesiones forestales de forma sostenible. Hoy ambas concesiones de La Chonta están certificadas por el FSC.
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A fin de mejorar las prácticas forestales y adoptar la OFS, La Chonta tuvo que aumentar el número de especies arbóreas aprovechadas y, por consiguiente, ha podido extraer volúmenes más abundantes por unidad de superficie. En el pasado, la empresa se había basado en unas pocas especies valiosas con extracciones que normalmente eran inferiores al metro cúbico por hectárea, lo cual sólo era posible por el alto precio de las denominadas especies nobles en el mercado (por ejemplo, la caoba). Con la adopción de mejores prácticas forestales, el aumento de los volúmenes extraídos pasó a ser un factor esencial, no sólo para mitigar la presión ejercida sobre las especies maderables nobles, sino también para poder internalizar los costos nuevos y adicionales relacionados con la aplicación de mejores prácticas. Actualmente la empresa extrae entre 3 y 8 m3/ha, lo cual sigue siendo un volumen relativamente pequeño en comparación con las extracciones que tienen lugar en otros países de la región, por ejemplo, en Brasil. Sin duda, el aumento de los volúmenes extraídos redujo los costos de extracción, pero trajo aparejado otro problema: muchas de las nuevas especies maderables extraídas son desconocidas en el mercado internacional y, si se las acepta, tienen un valor de mercado limitado. La Chonta pasó por períodos difíciles, ya que en muchos casos los costos de producción, debido principalmente a problemas logísticos vinculados a los altos costos de transporte a los principales mercados consumidores, constituyen una limitación importante para las maderas que no tienen una tradición en el mercado (EMC). En principio, el mercado nacional podría haber sido una alternativa, pero tal como se esperaba, es demasiado limitado para absorber los volúmenes producidos. La Chonta cuenta con dos aserraderos, ambos situados cerca de las concesiones forestales (La Chonta y Lago Rey). Una parte de la producción se comercia en bruto, mientras que la madera de calidades superiores es transformada en productos de valor agregado. La capacidad de producción de la planta industrial es de alrededor de 2.000 m3/año de productos acabados (puertas, molduras y tableros para pisos). Anualmente se producen aproximadamente 20.000 puertas. El FSC ha certificado también la cadena de custodia de la empresa. Las actividades de transformación maderera se vieron severamente afectadas cuando se adoptaron las prácticas de OFS. Los conocimientos adquiridos en la transformación de las maderas tradicionales, por ejemplo la mara (caoba), el roble y el cedro, ya no eran válidos cuando se comenzaron a producir las EMC. El alto valor comercial de estas especies tradicionales ampliamente aceptadas en el mercado permitía un bajo nivel de rendimiento en la cadena de valor forestal. Con la adopción de las prácticas de OFS y la introducción de las especies menos conocidas, fue preciso adoptar varias medidas para mejorar la eficiencia de la industria, inclusive diversas inversiones para el desarrollo de nuevos procesos y productos, así como inversiones en las instalaciones industriales. La experiencia adquirida por La Chonta indica que la incorporación de EMCs es fundamental para la aplicación de prácticas de OFS. La transformación de estas maderas exige una expansión de la escala de producción (comenzando por el bosque) y la adopción de mejores tecnologías de transformación a fin de reducir los costos de producción e incrementar el valor de los productos. Asimismo, la experiencia demostró que las EMC tienen un valor más bajo en el mercado, muy inferior al de las maderas tradicionales, y es poco probable que sus precios aumenten con el transcurso de los años. Por lo tanto, sin una reducción de costos y el agregado de valor al producto, es imposible tener una operación rentable, lo cual es necesario para mejorar las prácticas forestales. Además, las lecciones aprendidas por La Chonta en Bolivia nos demuestran que para fomentar la OFS es importante contar con un marco normativo y jurídico adecuado, especialmente en relación con la aplicación y el cumplimiento de leyes. Sin embargo, el sector privado de Bolivia terminó pagando la totalidad de los costos para la adopción de prácticas de OFS, ya que el gobierno no dispone de ningún instrumento económico u otro mecanismo para alentar eficazmente la adopción de la ordenación forestal sostenible. Si bien inicialmente se esperaba recuperar los costos adicionales en el mercado, hoy no se paga ningún sobreprecio por la madera producida de forma sostenible, incluso cuando se trata de madera certificada. Para lograr el cambio se necesita algo más que simplemente buena voluntad. Es preciso contar con nuevas inversiones en toda la cadena de valor forestal. Ésta ha sido una limitación importante para La Chonta, ya que las fuentes financieras de Bolivia para las inversiones directas en la industria maderera son muy limitadas y en aquellos casos en que se encuentran disponibles, los costos son demasiado elevados.
Guavirá Guavirá Industrial e Agroflorestal Ltda. es una empresa privada brasileña totalmente integrada, que realiza operaciones de extracción y aprovechamiento forestal, manufactura (plantas de transformación primaria y secundaria) y comercio. En estas operaciones, emplea a alrededor de 250 personas y su facturación anual es de aproximadamente siete millones de dólares estadounidenses. Guavirá posee aproximadamente 80,000 ha de tierras situadas en el estado de Mato Grosso (tierras de propiedad privada). De este total, 58.000 ha se encuentran cubiertas de bosques tropicales naturales manejados con fines de
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producción. Representa una de las mayores operaciones de OFS del estado de Mato Grosso. El plan de manejo forestal preparado por Guavirá fue calificado por las autoridades de ese estado y también por el organismo nacional forestal IBAMA como un proyecto modelo. Si bien la empresa podría comprar madera en troza en el mercado local, actualmente toda su materia prima proviene de sus propios bosques manejados de forma sostenible. Las tierras forestales de Guavirá revisten un carácter único y muestran una variedad mucho menor que otras partes de la región amazónica. Básicamente, en los bosques de Guavirá, hay 24 especies arbóreas consideradas de valor comercial, pero dada la gran concentración de especies, se decidió aprovechar únicamente la mitad. La especie dominante es cedrinho (Erisma uncinatum), que representa alrededor del 50% del volumen total de madera extraída. Según la ubicación, los volúmenes de cedrinho oscilan entre 10 y 15 m3/ha (en áreas reducidas, el volumen puede ser mayor). El restante 50% del volumen extraído es de otras 10 especies. Este alto volumen disponible de una sola especie (cedrinho) con un amplio mercado representa una ventaja competitiva importante para Guavirá. La explotación maderera se lleva a cabo con suma eficiencia. Las operaciones de extracción y transporte de la empresa tienen lugar durante todo el año, mientras que la mayoría de las operaciones de la región amazónica se extienden durante no más de 6-8 meses al año debido a la estación lluviosa. Esto sólo es posible por las condiciones locales (en particular, los suelos) y especialmente el método de extracción adoptado por Guavirá, que incluye la construcción de caminos de acceso a compartimientos específicos de aprovechamiento durante el período lluvioso. Dado que las operaciones se llevan a cabo durante los doce meses del año y se utilizan mejores tecnologías y equipos para la extracción y el transporte de la madera, los costos operativos son mucho menores que los de la competencia. La maquinaria utilizada consiste básicamente en un tractor remolcador, un cargador frontal y cinco camiones de carga de 70 toneladas, lo cual es suficiente para producir el volumen de 85.000 m3 anuales que consume el aserradero. A fin de aumentar su ventaja competitiva, Guavirá decidió invertir en un aserradero moderno. Los principales motivos de esta inversión fueron incrementar la productividad, reducir el nivel de desechos madereros y mejorar la calidad de los productos para conquistar el mercado internacional. El proyecto para modernizar las operaciones e instalaciones de Guavirá se llevó a cabo con el apoyo de una firma consultora. La modernización de las instalaciones industriales comprendió: i) la construcción de un aserradero moderno con una capacidad de producción de 60.000 m3/año de madera aserrada para reemplazar los tres pequeños aserraderos existentes, inclusive los hornos de secado; ii) la construcción de una moderna planta de transformación secundaria a fin de añadir valor a la madera aserrada y mejorar a la vez las tasas de recuperación de madera; y iii) el establecimiento de una central eléctrica basada en el uso de desechos madereros. Inicialmente se había programado construir esta planta eléctrica durante la construcción del aserradero, pero debido a la participación de un productor independiente de electricidad (IPP), la inversión se postergó. La inversión total ascendió a alrededor de 12 millones de dólares estadounidenses. Aproximadamente el 50% de este total fue financiado por el Banco Nacional de Desarrollo Económico y Social – BNDES. Ésta fue la primera financiación otorgada por el BNDES a una industria maderera de la región amazónica basada en la producción de madera tropical. Además de la modernización de la planta, los fondos facilitados por el BNDES se utilizaron también para extender las plantaciones forestales y para un programa social. Las inversiones realizadas fueron importantes para permitir a la empresa penetrar en el mercado internacional (antes de la construcción del nuevo aserradero, el 100% de la producción se vendía en el mercado nacional, principalmente como material de construcción). Durante la construcción del nuevo aserradero, se enviaron varias misiones a los principales mercados para determinar las mejores opciones en relación con los productos, canales de comercialización y clientes. Actualmente, Guavirá produce 45.000 m3/año de madera tropical aserrada. La madera de calidades superiores se transforma en productos de valor agregado (se venden aproximadamente 10.000 m3/año de productos de valor agregado, principalmente en el mercado internacional, inclusive molduras, tableros para terrazas, componentes de muebles, etc.). Como resultado de la estrategia adoptada (añadir valor a una porción significativa de la producción y comerciar en el mercado internacional), los precios de venta medios aumentaron más del 100% en los últimos tres años. Al subir el precio promedio, aumentaron los ingresos y las ganancias, disminuyendo al mismo tiempo los volúmenes extraídos. La experiencia de Guavirá nos demuestra claramente que el aumento de la productividad en la cadena de producción es fundamental para competir en el mercado y asegurar la sustentabilidad económica de la empresa, el factor más importante para garantizar que se cumplan los criterios ecológicos y sociales fijados para el manejo forestal. No obstante, Guavirá se cuestiona la sustentabilidad económica de la empresa a largo plazo. Sus costos operativos aumentan constantemente debido a la creciente complejidad del marco jurídico relacionado con los bosques y la superposición cada vez mayor de reglamentos como resultado del proceso actual de descentralización. Estos factores incentivan la informalidad y la corrupción, especialmente si se suman a un nivel deficiente de aplicación y
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cumplimiento de la legislación. Existen serias dudas, en particular con respecto a si el gobierno aplicará eficazmente la legislación relacionada con los derechos de propiedad en el futuro, lo cual podría limitar las inversiones futuras.
Orsa Florestal La historia de la región del Valle Jari, situado en el norte del estado de Pará (Brasil), a 600 km de la capital Belém, está estrechamente vinculada a la actividad forestal de Jari Celulose (conocida en todo el mundo como “Proyecto Jari”), una empresa instalada en la región desde 1967. El proyecto comenzó con el establecimiento de plantaciones y más tarde (en 1978) se instaló una planta para pulpa de madera. En el año 2000, el Grupo Orsa se hizo cargo del proyecto y decidió poner en práctica un “polo de desarrollo sostenible”, concentrado en el uso múltiple de los recursos forestales, además de continuar el crecimiento del negocio de la pulpa de madera (que hasta ahora ha sido la principal actividad económica). En 2003, Orsa Florestal comenzó las actividades de su plan de manejo forestal sostenible en un área de 545.000 ha. El plan de manejo se basa en un turno de rotación de 30 años. Ese mismo año, la empresa inició el proceso de certificación del FSC junto con el Sistema de Certificación Científica (SCS). Además de la madera se prevé también la certificación de los PFNM. La idea es que los PFNM sean extraídos por la comunidad local con el apoyo de la empresa y la Fundación Orsa. Asimismo, la empresa instaló un aserradero, cuya producción actual es de 1.500 m3/mes y la madera producida es secada al aire antes de enviarla al consumidor final. En 2004, la capacidad del aserradero se aumentará a una producción mensual de 3.000 m3. La empresa está instalando también una planta de transformación secundaria para producir S2S, S4S, tableros para terrazas, productos para pisos y otros productos de valor agregado. En los últimos diez años, Brasil ha establecido un extenso y complejo marco de leyes, políticas y reglamentos en respaldo de la OFS. Este marco incluye una definición clara de los objetivos nacionales relacionados con los bosques (producción, conservación y protección), derechos de tenencia, control del manejo y aprovechamiento forestal, y otros componentes. De hecho, Brasil quizás sea uno de los países del mundo con el marco regulador más completo en el ámbito forestal. El Proyecto Jari, debido a su magnitud, inversiones extranjeras y ubicación, ha sido objeto de debate durante un largo tiempo. Tanto en el plano nacional como internacional, se han planteado problemas relacionados con la internacionalización de la región amazónica y los impactos sociales y ecológicos. Además, se ha cuestionado la viabilidad económica del proyecto y durante más de dos décadas, se redujeron las inversiones y se plantearon dudas con respecto a su continuidad. La transferencia del control de la empresa a un grupo inversionista nacional mitigó los problemas relacionados con la internacionalización de la región amazónica, pero se siguieron debatiendo las diversas inquietudes existentes sobre los impactos sociales y ecológicos adversos, así como las dudas relativas a su sustentabilidad económica. El Grupo Orsa decidió concentrarse en las deficiencias del proyecto. Los nuevos conceptos de manejo incorporados, inclusive una política empresarial clara relacionada con la responsabilidad ecológica, la investigación y el desarrollo, así como una mejor utilización de los recursos locales, cambiaron la imagen de la empresa. Sin duda, las experiencias adquiridas durante casi medio siglo han sido de suma importancia para la adopción del nuevo enfoque de manejo, pero se debe reconocer que Orsa fue capaz de analizar el problema críticamente y aprovechar su experiencia para reestructurar las operaciones y convertirlas en un negocio sostenible, integrado totalmente con la realidad local. Los conocimientos adquiridos en relación con las plantaciones de rápido crecimiento en las regiones de la selva tropical son también de fundamental importancia. Después de varios años de intensa investigación, numerosos ensayos en el terreno y grandes inversiones, se alcanzó el nivel actual de plantaciones sumamente productivas, capaces de producir madera para pulpa de alta calidad. Gracias al aumento del rendimiento de las plantaciones, fue posible reducir la extensión de tierra requerida y, más importante aun, convertir la empresa en un negocio rentable. La superficie total original del Proyecto Jari también se redujo. Orsa reconoció los derechos territoriales de algunas comunidades locales y creó también áreas protegidas en ciertos entornos especiales. De este modo, se redujeron los conflictos en la región y se mejoró la imagen de la empresa, y a la vez sigue habiendo suficientes tierras para investigar, en cooperación con la comunidad local y varias organizaciones, las diversas opciones para el desarrollo sostenible del bosque natural. El potencial del bosque natural ahora constituye un componente importante de la empresa. Indudablemente, Orsa aún se encuentra en una etapa preliminar de aprendizaje en materia de ordenación y manejo de bosques tropicales naturales, pero este proceso se ha visto facilitado por el hecho de contar con una estructura administrativa bien establecida y disponer de recursos financieros y una estrategia y plan comercial correctamente definidos. Uno de los puntales de la empresa en el plano social y ecológico es la Fundación Orsa. La Fundación recibe el 1% de los ingresos anuales brutos del Grupo para poner en práctica sus programas y proyectos. La estructura y los
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fondos de la Fundación son sumamente importantes para facilitar la cooperación con la comunidad y con organizaciones nacionales e internacionales. Con el programa social, la ejecución del proceso de OFS permitirá llevar a cabo varias actividades que generarán ingresos para las comunidades locales. Una de estas actividades es la recolección de productos forestales no maderables. La idea va más allá de la creación de empleos, ya que abarca la capacitación de recursos humanos en aspectos relacionados con la producción y organización, permitiendo la creación de nuevas actividades comerciales dirigidas por las comunidades locales con el fin de mejorar la economía local. Orsa es un ejemplo de una empresa que ha realizado un tremendo esfuerzo para adoptar prácticas de OFS, incorporando un enfoque integrado y teniendo en cuenta que la sustentabilidad económica es la base para satisfacer los criterios sociales y ecológicos. Los resultados de la evaluación indican claramente que la disponibilidad de recursos humanos y financieros es fundamental para lograr esta meta. En el caso de Orsa, estos factores, en principio, no constituyen una limitación importante. Al parecer, la empresa se encuentra correctamente encaminada, pero habrá que esperar unos años para evaluar su eficacia en la aplicación de la OFS.
Cikel CIKEL, un grupo privado brasileño establecido en 1974, es una empresa maderera totalmente integrada. Sus operaciones incluyen la tala y extracción de madera, manufactura (transformación primaria y secundaria) y comercio. CIKEL es una de las principales empresas madereras productoras de madera tropical en América Latina. La empresa emplea a alrededor de 1.800 personas y su ingreso total anual asciende a aproximadamente 27 millones de dólares estadounidenses. En el año 2000, CIKEL decidió incorporar cinco pequeños planes de manejo forestal en un proyecto de mayor envergadura con una extensión de 206.412 ha. El propósito del nuevo plan de manejo forestal era atraer la participación de todo el talento tecnológico y científico disponible. Inicialmente, CIKEL invirtió en los recursos humanos de la empresa, estableciendo su propio departamento forestal y creando además una oficina de apoyo e infraestructura en el terreno. Al mismo tiempo, la empresa estableció varias alianzas y acuerdos de cooperación con centros de investigación, universidades y ONGs, además de otras partes interesadas, con el fin de costear la información y los conocimientos requeridos para la elaboración del plan de OFS de CIKEL. Varios expertos de diferentes campos y diversos institutos y organizaciones se dividieron en grupos de trabajo y, junto con los técnicos de CIKEL, elaboraron el plan de OFS de la empresa. Hasta hace poco, este plan era el más extenso jamás formulado, ejecutado y presentado a las autoridades gubernamentales competentes del Brasil. La ejecución del plan de OFS exige un firme compromiso de CIKEL con la comunidad local. De hecho, la empresa logró encontrar la forma de concientizar a la población tradicional y local sobre la importancia de la OFS y su contribución para la conservación en la región. Inicialmente, la idea era poner en práctica un programa de educación ambiental concentrado en la comunidad situada en la unidad de ordenación forestal, pero posteriormente este programa se amplió para abarcar a todas las comunidades aledañas. La concepción del proyecto de manejo forestal, basado en un enfoque innovador, multidisciplinario e interinstitucional, llevó a la empresa a adoptar los principios, criterios e indicadores de certificación forestal internacional definidos por el Consejo de Gestión Forestal (FSC). Lógicamente, entre los diversos beneficios alcanzados por CIKEL después de la ejecución del plan de OFS, se plantearon importantes desafíos que fue preciso superar, a pesar de que algunos de ellos aún siguen existiendo. Las principales dificultades son las siguientes: i) falta de incentivos por parte del gobierno local, estatal y federal; ii) la prensa prefiere trabajar con hechos documentados sobre los proyectos de la Amazonia; iii) competencia desleal en los mercados, inclusive el nacional, que no tienen en cuenta los principios sociales y ecológicos en las preferencias de consumo y se basan únicamente en el precio; y iv) constantes exigencias de inversiones innovadoras en materia de tecnología ambiental y capacitación específica. Los logros alcanzados se pueden sintetizar de la siguiente manera: i) mejor relación con la comunidad, inclusive la posibilidad de ofrecer trabajos especializados; ii) mayor compromiso de los empleados para resolver problemas de rutina; iii) avance con respecto a las ganancias derivadas de la conservación ambiental; iv) promoción de las especies comercializadas en los mercados internacionales; v) mejor imagen ecológica del empresariado de la Amazonia; y vi) aumento de la competencia internacional en los “mercados verdes”. Se ha observado que muchos de los resultados se pueden considerar intangibles, como lo demuestran un gran número de inversiones realizadas en el ámbito del medio ambiente, debido a la dificultad para medir en términos económicos la transformación cultural estimulada en este caso específico. Este tema reviste especial interés en el caso de esta empresa, ya que se encuentra situada en una región con dificultades logísticas significativas en comparación con otros sectores industrializados, donde el componente ecológico es sólo uno de los factores que interfieren en el rendimiento económico de la compañía.
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Incluso después de considerarse un modelo de OFS en los trópicos y haber acumulado vasta experiencia con el correr de los años, hay algunos problemas que es necesario superar. Los principales se pueden resumir de la siguiente manera: i) falta de mecanismos gubernamentales de financiación adecuados para fomentar eficazmente la adopción de prácticas de OFS; ii) marco jurídico complejo que produce un aumento en los costos y mayor competitividad en el mercado internacional (hay otras fuentes de madera mucho menos reguladas); iii) marco regulador inestable y, en particular, incertidumbres con respecto a los derechos de propiedad sobre las tierras y bosques, lo cual dificulta las decisiones sobre inversiones a largo plazo en operaciones forestales e industriales; iv) la imagen de la industria maderera sigue siendo una limitación para acceder a créditos y otros beneficios; y v) deficiencias en la aplicación de leyes, lo cual conduce a una competencia desleal en el mercado. Como puede verse, la mayoría de los problemas enumerados no pueden ser resueltos por la empresa. En principio, se necesita la intervención directa del gobierno a nivel federal y estatal.
ASPECTOS PRINCIPALES Aspectos Relativos A La Gobernabilidad Reglamentos complejos e ineficaces Las inquietudes internacionales relacionadas con los bosques y el medio ambiente, sumadas a un marco institucional general deficiente en América Latina y el Caribe, han hecho que muchos países de la región dependan en gran medida de la cooperación bilateral y multilateral internacional, así como de las ONG internacionales, para formular sus políticas, leyes y reglamentos nacionales en todos los niveles. Junto con este desarrollo intra-sectorial, hubo otros factores extra-sectoriales que afectaron también el desarrollo del marco regulador en el ámbito de los bosques y el medio ambiente. Uno de los factores extra-sectoriales importantes se relaciona con las políticas generales orientadas a la descentralización. En la mayoría de los países, diversas organizaciones internacionales de diferentes orígenes o vocaciones participaron en el proceso. Las instituciones débiles de la región no han podido influenciar o impulsar debidamente el proceso, lo cual, en general, ha dado lugar a un marco jurídico muy complejo que no tiene en cuenta las condiciones locales. Este hecho causa problemas en la aplicación de las leyes, facilitando la corrupción y aumentando los costos operativos para el sector formal de la economía. La lista de requisitos que debe satisfacer una empresa productora de madera tropicales es muy extensa. Existen también otros problemas comunes, inclusive una superposición frecuente entre el gobierno federal y estatal (causa de costos y conflictos adicionales) y una falta de estabilidad en lo relativo a leyes y reglamentos (lo cual crea incertidumbres sobre el rendimiento de las inversiones a largo plazo). En todo caso, la evaluación realizada reveló que el sector privado, un importante inversionista de la OFS, ha aprendido de este proceso y, sobre la base de su experiencia práctica, debería ser invitado por los gobiernos a debatir las opciones. Entre los interrogantes planteados por el sector privado durante la ejecución de este estudio, que los gobiernos de la región podrían considerar en sus deliberaciones futuras, se destacan los siguientes: •
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En los últimos años, el tamaño de la administración estatal se aumentó para posibilitar la aplicación de un complejo marco regulador Cuán eficientes son los gobiernos en la aplicación del marco regulador existente? Pueden justificarse los costos en un análisis de costos/beneficios? La descentralización está teniendo los resultados esperados y está ayudando a fomentar la OFS, o constituye, de hecho, una fuente alternativa de fondos para los gobiernos subnacionales, añadiendo más costos a las operaciones del sector privado? El marco regulador establecido contribuye a la OFS o, en realidad, crea obstáculos y disminuye el valor de los bosques, fomentando de ese modo la deforestación? El sector privado maderero actualmente carga con los costos adicionales de la adopción de prácticas orientadas a producir amplios beneficios sociales y ambientales. ¿Deberían socializarse estos costos (a nivel nacional e internacional) y compartirse entre todos los beneficiarios? Por qué las actividades forestales de la región habrían de estar más reglamentadas que las que tienen lugar en otras regiones? Es justo esto para las empresas locales, teniendo en cuenta que deben competir en un mercado mundial? Los gobiernos han realizado suficientes inversiones en iniciativas proactivas para atacar la raíz del problema, por ejemplo, en materia de educación? Cuán estable es el marco regulador vigente? Cómo será el próximo y cómo pueden los inversionistas estar seguros de que obtendrán rendimientos económicos en un entorno de este tipo?
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De hecho, en la mayoría de los casos, los reglamentos vigentes no fueron ampliamente debatidos y concertados con todas las partes interesadas, no se han tenido en cuenta los conocimientos locales y los criterios internacionales utilizados como parámetros no siempre son totalmente adecuados. Deberían reformarse las medidas reguladoras existentes y se deberían realizar esfuerzos para aumentar la eficiencia de los gobiernos de la región. La reducción de medidas reguladoras y burocráticas y el aumento de eficiencia en la aplicación de leyes y reglamentos son aspectos importantes que deben analizarse. En suma, la opinión del sector privado es que la normativa, cuando sea necesaria, debe fomentar la OFS y no reducir el valor de los bosques.
Derechos de propiedad, tenencia de tierras y zonas forestales permanentes La tenencia de tierras y, en particular, la ausencia de derechos de propiedad correctamente definidos han sido dos problemas clave para atraer inversiones en el sector forestal de la región de América Latina y el Caribe. De hecho, la inseguridad de los derechos de propiedad impide o, al menos, reduce las inversiones privadas en el sector forestal y, por ende, en la OFS. En realidad, una condición previa para lograr la OFS en la mayoría de los países de América Latina-Caribe, principalmente Bolivia, Guyana, Perú y Suriname, es la resolución de los conflictos sobre la tenencia de tierras y la aplicación de leyes sobre derechos de propiedad. Una mayor seguridad de la tenencia de tierras puede ser un elemento importante de cualquier estrategia encaminada a fomentar la OFS en la región. Otras medidas pueden también ser importantes, por ejemplo, se pueden utilizar una diversidad de medidas tributarias como complemento para fomentar la OFS. Asimismo, se pueden promover o desalentar distintos usos de la tierra según sea el sistema impositivo. Las zonas bajo bosques naturales podrían estar sujetas a impuestos territoriales bajos, mientras que las áreas utilizadas con fines agropecuarios podrían tener impuestos más altos. Además, se podrían fomentar los derechos de acceso y acuerdos de conservación concediendo tasas impositivas inferiores. Los movimientos sociales han creado presiones sobre las tierras forestales. Estos movimientos sociales son originados por la pobreza y, en algunos casos, el interés de grupos específicos. En Brasil, y también en otros países de la región, los movimientos sociales han hecho que los gobiernos establecieran la distribución de tierras a través de un programa de reforma agraria. En muchos casos, las zonas forestales fueron incluidas en los programas de distribución de tierras y, en la mayoría de los casos, los resultados no son positivos. Se pierde el potencial forestal y la falta de asesoramiento y apoyo técnico a los nuevos colonos hace que los programas fracasen. Las tierras y bosques se deterioran y los problemas sociales continúan. Hay casos en que se produce la ocupación de la tierra por los movimientos sociales y se degradan los bosques independientemente de si se cuenta con un programa gubernamental o no. Esto genera conflictos y rara vez se respetan los derechos de propiedad debido a la incapacidad de los gobiernos para poner en práctica la legislación. Más adelante en este informe, se presentan más comentarios sobre este tema en relación con la aplicación de leyes. En la mayoría de los países, el marco regulador, en su forma actual, sólo puede aplicarse en territorios forestales bastante extensos. La OFS en zonas reducidas no es factible desde un punto de vista económico y operativo. En la práctica, esto significa que ninguno de los pequeños terratenientes pueden tener sus zonas forestales bajo sistemas de producción o sus operaciones se consideran ilegales, incluso si se adoptan prácticas adecuadas de OFS y se protegen los bosques. En realidad, la tenencia de tierras y los derechos de propiedad son un problema crucial en los países donde los bosques de producción son predominantemente de propiedad privada. Éste es el caso de la gran mayoría de los países tropicales de la región de América Latina y el Caribe. Sin embargo, es también un problema en los países con tierras públicas, como Bolivia, donde los concesionarios son responsables, en cierta medida, del mantenimiento de las zonas forestales.
Actividades ilegales y aplicación de leyes La industria maderera ha estado frecuentemente asociada con actividades ilegales. En los últimos años, el debate sobre la extracción ilegal de madera ha adquirido importancia a nivel internacional. El gobierno de EE.UU. y la Comunidad Europea han emprendido iniciativas para limitar la extracción ilegal. Se dice que las actividades ilegales de extracción y comercio de madera constituyen un problema creciente con repercusiones negativas en los planos económico, ambiental y social, y combatirlas ha pasado a ser una prioridad. El principal objetivo del plan de acción de la UE sobre la aplicación de leyes, gobernabilidad y comercio en el ámbito forestal (FLEGT), por ejemplo, es crear y poner en práctica un sistema de licencias madereras mediante alianzas de cooperación establecidas con los países productores. Se prevé que este sistema garantizará que en la Unión Europea ingrese sólo la madera extraída legalmente. La estrategia de la UE contempla el tratamiento de este asunto en la OMC.
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Las labores realizadas a través de este proyecto demostraron claramente que el sector privado que lleva a cabo operaciones en los bosques tropicales de la región no es consciente del debate mundial que está teniendo lugar en la actualidad. En este caso también pareciera que la parte interesada más importante no ha participado en el proceso y hay mucho que perder si se emplea este enfoque. La extracción ilegal de madera no está claramente definida y es evidente que en el debate internacional aún no se ha concertado una definición adecuada. Algunas organizaciones, inclusive la FAO, han definido la extracción ilegal con una connotación relativamente limitada. Según esta definición, la extracción ilegal se produce cuando la madera se extrae de forma no autorizada en violación de las leyes y reglamentos establecidos. En la actualidad se está debatiendo la adopción de una definición más amplia, que incluya no sólo las actividades de extracción sino también el comercio de madera (no simplemente la extracción y el comercio vinculado a la misma, como se define, en principio, en el proceso FLEGT). Este concepto más amplio considera que las actividades de extracción y comercio están relacionadas, son interdependientes y ambas tienen efectos adversos en la ordenación forestal sostenible. Según este concepto más amplio, la ilegalidad incluiría la extracción ilegal (extracción en áreas protegidas, ausencia de permisos de tala u otros aspectos), el transporte ilegal de madera, el comercio ilegal (contrabando de madera, comercio de especies maderables prohibidas por ley, y otras actividades afines), la transformación ilegal de productos forestales, la fijación de precios de transferencia, prácticas contables ilegales, delitos financieros y prácticas corruptas (sobornos, retención de la información pública y otras). Tal como se puede observar, la lista es vasta y trasciende la limitada definición de extracción ilegal. Debido a la complejidad de este asunto, seguramente se lo seguirá debatiendo durante un largo período de tiempo y parece fundamental abrir las puertas del debate para incluir al sector privado. Independientemente de la definición limitada o amplia que se adopte, no hay duda de que las irregularidades forman parte de las actividades de extracción y comercio de madera en la región de América Latina y el Caribe. Asimismo, es evidente que el complejo marco regulador existente ha contribuido en gran medida al aumento de la ilegalidad y muchas operaciones consideradas ilegales en la mayoría de los países de Latinoamérica/Caribe no lo serían en otras partes del mundo, por ejemplo en los Estados Unidos, donde la explotación en tierras de propiedad privada no está tan reglamentada. El sector privado considera que además del complejo marco regulador, la ineficiencia y burocracia gubernamental asociada con la obtención de permisos para operar en el sector forestal es otro factor importante que fomenta las actividades ilegales. El largo proceso de tramitación es muy costoso, tiene repercusiones en la producción e incentiva la corrupción. Las operaciones ilegales han pasado a ser una opción rápida para una empresa que necesite producir dinero en efectivo para mantener sus operaciones. En muchos casos, la extracción ilegal tiene lugar en tierras estatales. De hecho, en algunos países, las prácticas de extracción ilegal son mucho más frecuentes en las tierras públicas que en las de propiedad privada. Las áreas forestales públicas se consideran básicamente tierras de libre acceso, mientras que las propiedades privadas se respetan en su mayor parte. La extracción ilegal de madera también tiene lugar fuera de las tierras públicas y es bastante frecuente en las propiedades pequeñas. Por ejemplo, es bastante común en los asentamientos creados por programas gubernamentales de distribución de tierras en zonas boscosas. Éste es un problema que existe y necesita resolverse. Es preciso debatir las diferentes opciones para las pequeñas propiedades, y los gobiernos de la región deberán adoptar un enfoque proactivo en este respecto. Los resultados de este estudio demuestran que el sector privado es consciente del problema. La percepción de las empresas es que es difícil competir con los suministros provenientes de fuentes no sostenibles. La OFS tiene costos financieros y administrativos y sus rendimientos económicos se producen en el largo plazo. No hay duda de que las actividades ilegales no sostenibles en las “tierras maderables de libre acceso” son mucho más rentables en el corto plazo y, por lo tanto, los inversionistas legítimos tienen una enorme desventaja financiera cuando proliferan los delitos forestales. Por otra parte, se debe tener en cuenta que no es fácil obtener información sobre las actividades ilegales y su contribución a la producción total, y los datos disponibles no son precisos. En la mayoría de los casos, la información es reunida por las ONG y el sector privado no la considera fidedigna. Por ejemplo, la información sobre la extracción ilegal de madera en Brasil indica que más del 80% de la madera extraída en la región amazónica proviene de fuentes ilegales. Esta información se ha mantenido igual durante casi veinte años. El sector privado considera que esto no puede ser así y que la cifra inicial, aparecida una y otra vez en varias publicaciones durante todos estos años, no era correcta. En la opinión del sector privado, existen pruebas claras de que la situación ha cambiado en el transcurso de los años y no puede aceptar que todos los esfuerzos realizados por los gobiernos a nivel nacional y estatal para mejorar el marco jurídico y la aplicación de la legislación, así como la labor realizada por las ONG, no haya tenido ningún efecto en esta situación.
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El control de las actividades ilegales y la aplicación de las leyes en los bosques de América Latina y el Caribe son sumamente difíciles debido a: i) la vasta extensión de los mismos; ii) la infraestructura deficiente; y iii) el gran número de actores que contribuyen a la deforestación. Las dificultades del control de la ilegalidad y la aplicación de la legislación se ven exacerbadas por problemas institucionales y políticos: i) limitada presencia de instituciones gubernamentales; ii) fragmentación y duplicación de actividades de las instituciones ambientalistas, lo cual se observa con frecuencia en Brasil; iii) baja prioridad a nivel político para el control del uso de tierras y bosques; y iv) limitados recursos financieros (Simula, 2002). La evaluación llevada a cabo por el consultor confirma las opiniones del sector privado. Hay muchas más actividades ilegales relacionadas con los bosques, la transformación de maderas y el comercio que la “clásica extracción ilegal”. De hecho, las repercusiones negativas en los planos económico, social y ambiental son mucho más posibles en el caso de las actividades ilegales que tienen lugar fuera de los límites del bosque, que en las operaciones de extracción ilegal. Pese a todos estos aspectos, existen indicios de que las actividades ilegales relacionadas con la industria forestal tropical en la región de América Latina y el Caribe se han reducido en los últimos años. Esto se produjo como reflejo de la adopción de la OFS en muchos países de la región debido principalmente a la presión internacional. El sector privado está cambiando de actitud con rapidez y tiene interés en cooperar para reducir las actividades ilegales. El consenso general dentro del sector privado es que es importante analizar el marco regulador vigente para mejorar la eficiencia, reducir los costos y facilitar la aplicación de la legislación, con el fin de promover la economía formal y atraer las inversiones necesarias para fomentar la OFS.
Aspectos Técnicos Y Científicos Desarrollo de capacidad y educación en materia de OFS Este estudio reveló que la falta de recursos humanos calificados es una de las limitaciones principales que obstaculizan el progreso hacia la OFS en la región de América Latina y el Caribe. El problema se observa tanto en el sector privado como en el público. De todos modos, dado que el sector privado es el principal responsable de la aplicación del proceso de OFS, el problema es más crucial en este caso. La falta de personal capacitado en el sector privado se refleja en todos los niveles, desde los directivos hasta los obreros forestales. Los estudios de casos llevados a cabo en este proyecto demuestran que las grandes empresas encontraron la forma de resolver el problema en parte. Las alternativas han sido el uso de consultores externos, acuerdos de cooperación con instituciones locales e internacionales y programas de capacitación en la empresa y en el bosque protegido, incluso durante las operaciones industriales, pero todo ello implica mayores costos para las empresas. El problema no está limitado a las operaciones forestales. La falta de mano de obra calificada para el manejo y la ejecución de actividades de transformación y comercio de madera es una limitación seria para la adopción de nuevas tecnologías con el fin de valorizar el producto, aumentar la productividad y adquirir competitividad en el mercado. De hecho, debido a la prioridad que se da a los aspectos relativos a los bosques y el medio ambiente, el desarrollo de capacidad en las operaciones industriales y comerciales, en la mayoría de los casos, se ha dejado de lado como segunda prioridad. Éste es un grave error, ya que sólo una industria eficiente podrá transformar el potencial existente en productos que puedan comercializarse con ganancias en el mercado. Por lo tanto, la sustentabilidad económica está en riesgo. La situación varía de país en país y dentro de la industria maderera. Como es de esperar, en los países menos desarrollados de la región y en las empresas más pequeñas, el problema es muy serio. Además del desarrollo de capacidad para la ordenación y administración adecuada de los bosques y la industria, se observa también una falta de programas de educación para las comunidades residentes en los bosques o zonas aledañas. El sector privado ha adquirido algunas experiencias importantes en relación con este aspecto que podrían servir de modelo en otras circunstancias. La respuesta obtenida de las comunidades sobre los programas ejecutados por el sector privado ha superado todas las expectativas. Las comunidades han cambiado su actitud en relación con el medio ambiente, el bosque e incluso la industria maderera. La experiencia adquirida muestra que un programa de educación correctamente diseñado pero relativamente sencillo, concentrado en los valores forestales, puede tener un impacto importante con inversiones relativamente bajas. En casi todos los países de la región, los gobiernos han hecho muy poco en lo que respecta al desarrollo de capacidad y educación de quienes trabajan o viven en los bosques. Es preciso que los gobiernos adopten un programa positivo y una actitud proactiva y trabajen en colaboración con el sector privado, las organizaciones internacionales y las ONG, a fin de encontrar la forma de facilitar la aplicación de la OFS.
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Investigación, desarrollo e información Pese a los esfuerzos y a los significativos avances alcanzados en los últimos tiempos, debido a la complejidad de los bosques tropicales, aún queda mucho por hacer en materia de investigación básica y aplicada en la región de América Latina y el Caribe. En prácticamente todos los países de la región, la investigación sigue tratándose como propiedad del gobierno y sólo unos pocos países cuentan con organizaciones activas y bien establecidas con un programa adecuado de investigación y desarrollo. En la mayoría de los países, la investigación y el desarrollo forman parte de proyectos que con frecuencia son financiados por organizaciones internacionales. El tema cubierto en estos proyectos varía según las prioridades de los donantes, las preferencias individuales u otros motivos poco claros. En consecuencia, pese a las inversiones realizadas y al número relativamente alto de proyectos, un porcentaje muy limitado de los resultados de la investigación han sido utilizados por los verdaderos responsables de la OFS en los bosques de producción (el sector privado). Varios países de la región de América Latina y el Caribe reconocen la necesidad de introducir reformas en sus instituciones de investigación forestal para corregir estas deficiencias. A pesar de que hay países con un gran número de instituciones que podrían y deberían participar en las actividades de I&D, en general, la deficiente administración y la falta de cooperación con el sector privado y otras organizaciones hacen que la producción científica sea prácticamente inexistente. Esta situación, conjuntamente con una falta de coordinación de actividades de I&D a nivel nacional, lleva a una duplicación de esfuerzos y a instituciones débiles con una limitada capacidad para llevar a cabo una investigación multidisciplinaria. En la mayoría de los casos, no se pueden ofrecer resultados prácticos para la sociedad y se desperdician el tiempo y los recursos financieros invertidos. En varias organizaciones, la práctica habitual es “esperar a que se financie el nuevo proyecto antes de comenzar el trabajo” en lugar de “determinar las prioridades nacionales que debemos resolver a través de nuestro programa de investigación”. En prácticamente todos los países de los trópicos de Latinoamérica /Caribe, la información sobre los recursos de los bosques tropicales y la industria y el comercio de maderas es muy limitada. En los casos en que se encuentra disponible, los datos no son precisos o no están actualizados. Se han tomado diversas medidas para remediar esta situación, inclusive el apoyo provisto por la OIMT a proyectos orientados a establecer un sistema de información forestal. El problema es que, en la mayoría de los casos, no se continúa el trabajo después de finalizado el proyecto. Contar con un sistema de información aparentemente no es una de las prioridades de los gobiernos locales. En general, la situación es caótica, pero, desde luego, varía según los países y dentro de los sectores forestal y del medio ambiente. En ninguno de los países, se cuenta realmente con información importante sobre, por ejemplo, la producción sostenible de madera. No obstante, Brasil dispone de información precisa y constantemente actualizada sobre la deforestación, pero los datos sobre el número de industrias madereras en funcionamiento, el consumo y la producción de productos forestales se basan en estimaciones aproximadas. Por último, la información en la mayoría de los países de la región no es accesible en absoluto. Existe la necesidad apremiante de democratizar la información. Con ello, se ayudaría a reducir las prácticas ilegales, especialmente la corrupción.
Prioridad otorgada a las plantaciones La complejidad del marco regulador y la creciente inquietud por los bosques tropicales naturales ha estimulado el establecimiento de plantaciones, en la medida de lo posible, fuera de las regiones tropicales (como sucedió en Brasil). En general, el sector privado considera que en el mediano plazo, los bosques naturales ya no estarán disponibles para la producción de madera, o la creciente tendencia a aumentar las reglamentaciones producirá un incremento en los costos hasta el punto en que la madera tropical será reemplazada por otras maderas o por productos no madereros. Debido a ello y a los incentivos provistos, muchos países de la región de América Latina y el Caribe han establecido plantaciones, algunas de las cuales cubren vastas extensiones, y se prevé que la superficie plantada crecerá rápidamente en los próximos años. No sólo se están extendiendo las plantaciones para la producción de madera sino también para otros productos no maderables. Un ejemplo del rápido desarrollo de cultivos de productos no maderables son las plantaciones de caucho del Brasil. Pese a los incentivos provistos para la producción de caucho en los bosques naturales y el establecimiento de las denominadas “reservas extractivas” y a las inversiones realizadas en las mismas con el firme apoyo de las organizaciones internacionales y las ONG, más del 90% de la producción actual de caucho natural no proviene de la región amazónica. La zona cauchera más importante es, sin duda, el estado de São Paulo (sudeste del país). El sector privado de todos los países de Latinoamérica /Caribe está siguiendo este proceso y lo somete a discusión cuando se necesitan nuevas inversiones. Los gobiernos de la región deben prestar atención a la evolución
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del proceso, ya que el sector privado, que actualmente es el principal inversionista de la OFS, en el futuro podría no estar dispuesto a continuar operando en los bosques naturales. Si bien para algunos ésta podría ser la solución, en la mayoría de las áreas forestales, las comunidades locales dependen en gran medida de las operaciones de la industria maderera. Si esta industria desaparece de la región, el gobierno necesitará encontrar otra alternativa económica, ya que la pobreza tenderá a aumentar y los recursos forestales se agotarán con rapidez. Una opción podría ser combinar las operaciones de los bosques naturales con plantaciones en las zonas degradadas. En este proyecto se identificó esta opción como una alternativa que el sector privado está considerando. De todos modos, aparentemente hay problemas que deben resolverse en los trópicos en materia de plantaciones. El desarrollo tecnológico relacionado con las plantaciones se ha concentrado fuera de los trópicos, o al menos fuera de las áreas tropicales húmedas.
Aspectos Comerciales Y Económicos Falta de mercados y distorsiones del mercado Los resultados de este estudio señalan que en la región de América Latina y el Caribe, el sector privado cargará con la mayor parte de los costos de la OFS. La mayoría de los gobiernos de la región disponen de limitados recursos para invertir y no tienen la voluntad política para buscar alternativas. Por lo tanto, el mercado es un componente importante, ya que representa la única forma de asegurar la sustentabilidad económica para las empresas. Los bosques tropicales son muy diversos, con un número relativamente alto de especies por unidad de superficie, pero durante muchos años sólo unas pocas de estas especies eran aceptadas en el mercado y comercializadas regularmente. En algunos casos extremos, como en Bolivia, la explotación del pasado se concentraba en una única especie de madera (caoba) que comprendía más del 60% de las exportaciones totales del país, y se utilizaban dos o tres especies que representaban alrededor del 90%. Entonces era posible operar sólo con un pequeño número de especies maderables gracias a los altos precios de estas maderas en el mercado, que permitían cubrir los costos extremadamente altos de extracción. Sin duda, estas prácticas no eran sostenibles y en varias áreas, la disponibilidad de madera en troza comercial de muchas especies del mercado disminuyó rápidamente. Por lo tanto, en el proceso de OFS es preciso considerar la incorporación de nuevas especies. Un número mayor de especies aprovechadas permite extracciones más abundantes y, por ende, reduce los costos de extracción. No obstante, son pocas las EMC con aceptación en el mercado; la introducción de una nueva especie es una inversión a largo plazo y sus precios más bajos no compensan las ganancias obtenidas al reducir los costos de extracción. Algunos países han tenido más éxito que otros en cuanto a la diversificación de especies. Esto se debe en parte al dinamismo del sector privado, pero depende también de las inversiones efectuadas (normalmente por el sector privado) y de los problemas logísticos (que suelen ser específicos de cada país). Los esfuerzos realizados a la fecha por los gobiernos de la región para promover las EMC han sido muy limitados. Prácticamente todas las experiencias exitosas se basan en iniciativas del sector privado. Algunos de los bienes y servicios que podrían ayudar a internalizar los costos asociados con la adopción de la OFS no se comercializan en los mercados. La percepción general del sector privado es que existen limitadas posibilidades de contar con una contribución significativa de los PFNM, por ejemplo, para financiar la OFS. La OFS puede producir diversos beneficios (protección de la biodiversidad, almacenamiento de carbono, belleza escénica, protección de cuencas hidrográficas), pero estos bienes y servicios no se comercializan en los mercados y, por lo tanto, suelen no ser de interés para las operaciones del sector privado. En suma, los mercados no tienen en cuenta estos beneficios derivados de la OFS, aun cuando éstos se encuentran disponibles. La única opción considerada por el sector privado es el secuestro de carbono basado en plantaciones. De todas maneras, el manejo de bosques naturales no es una de las actividades admisibles amparadas por el Protocolo de Kyoto. Para el sector privado, es evidente que la madera, por lo menos en los próximos diez o más años, será la única fuente importante de ingresos, y la eficiencia de la cadena de producción es la única opción para internalizar los costos adicionales relacionados con la adopción de la OFS. Ya se ha desvanecido el sueño que le vendieron al sector privado de que la certificación forestal podría ser una opción para la valorización del producto. Para quienes se encuentran en el mercado, es evidente que la certificación forestal es un requisito para penetrar en ciertos mercados y los costos vinculados a la obtención de la certificación, al igual que en el caso de la OFS, deben ser cubiertos por el sector privado. Los gobiernos de los países tropicales de América Latina y el Caribe, y la mayoría de los países tropicales del mundo, están tomando las medidas necesarias a fin de garantizar mercados para sus productos madereros. Las deliberaciones y decisiones de los foros internacionales están dominadas principalmente por los consumidores (países desarrollados). Además, los países tropicales están concentrados, en su mayor parte, en los programas relativos al medio ambiente, que tratan el comercio como un aspecto secundario.
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Por otro lado, en la mayoría de los países, el sector privado que opera en los bosques tropicales es débil, no está correctamente informado y no cuenta con la capacidad para persuadir a los gobiernos de desempeñar un activo papel en el escenario internacional.
Mayores costos y riesgos La voluntad de pagar por productos forestales ecológicos o certificados aún no se ha manifestado de forma generalizada en los mercados consumidores. Además, debido a los períodos más largos normalmente asociados con la OFS en comparación con la explotación no sostenible, los riesgos pueden ser mucho más altos. En ambos casos, los riesgos pueden afectar las ganancias. En las condiciones actuales del mercado de la mayoría de los países de la región de América Latina y el Caribe, la rentabilidad de la OFS es cuestionable. En general, pareciera que “la OFS no da rendimientos” al sector privado por las inversiones realizadas (Gregersen & Hermosilla). Los gobiernos locales deben tener en cuenta esta distorsión. En realidad, en varios países desarrollados existen incentivos para manejar los bosques, los cuales normalmente están vinculados a aspectos sociales y ambientales, pero en definitiva aumentan la competitividad de los productos en el mercado. En la región de América Latina y el Caribe, sólo es posible manejar los bosques tropicales naturales cuando el sector privado está dispuesto a hacerse cargo de los costos totales. La falta de incentivos puede estar asociada con las limitaciones de recursos financieros en los países de la región, pero es difícil entender cómo otros sectores de la economía se manejan con incentivos. Incluso dentro del sector forestal de algunos países de la región, se ofrecen incentivos para las plantaciones forestales.
Limitaciones del mercado para las especies EMC/EMU La diversidad de especies maderables es un problema cuando se trata de aplicar la OFS en los bosques tropicales naturales y crea también un problema en el mercado. La información presentada en los estudios de casos realizados indica que el número de especies que pueden aprovecharse varía enormemente de un lugar a otro de la región, de modo que no se observa una situación uniforme para todas las empresas madereras de Latinoamérica y el Caribe. La ausencia de un mercado para las especies menos conocidas (EMC) y las especies menos utilizadas (EMU) ha sido uno de los factores causantes del fracaso de varias inversiones forestales en la región. De hecho, el mercado es muy selectivo cuando se trata de maderas y si se trabaja con sólo unas pocas especies, se tienen bajos volúmenes extraídos por unidad de superficie y esto aumenta los costos de extracción. La explotación de un número reducido de especies es una limitación, no sólo desde el punto de vista de los costos, sino que también puede representar un problema en la aplicación de los planes de manejo forestal para cumplir con los criterios acordados de OFS. La introducción de nuevas especies en el mercado es un verdadero problema. La solución no es sencilla, especialmente cuando entran en juego los factores comerciales. La modificación de las estructuras del mercado abarca varios aspectos. Las fuerzas del mercado se basan fundamentalmente en la competitividad del producto, teniendo en cuenta sobre todo los factores económicos (precios, términos de pago, entrega, disponibilidad y calidad). La introducción de un nuevo producto en el mercado es costosa y muy susceptible a los precios. Ello significa que las nuevas especies sólo pueden ingresar en el mercado si el descuento provisto estimula al comprador a probar el nuevo producto ofrecido.
5.3.4
Políticas gubernamentales y comercio
Si bien las limitaciones, a la larga, conllevan a fracasos o deficiencias en el mercado, los factores causantes de estos problemas suelen estar exacerbados por políticas gubernamentales deficientes, la falta de aplicación de las racionales y la ausencia de normas de la sociedad civil que reglamenten el uso de los recursos naturales de un país mediante las políticas públicas. El sector privado busca obtener ganancias, pero la OFS podría no ser tan interesante como otras oportunidades de inversión. A menudo, hay formas más fáciles y seguras de obtener ganancias similares, tanto dentro del sector forestal como en otros sectores. Por lo tanto, la política principal debería hacer que la actividad forestal no sostenible sea menos rentable y la OFS produzca mayores rendimientos económicos. Esto no parece ser un problema específico de la región sino a escala mundial. De todas maneras, no es suficiente con sólo hacer que los bosques manejados sean más rentables que las fuentes no sostenibles. La madera no es el único negocio del mundo y las inversiones se dirigirán a otros sectores si no se logra una tasa mínima de rentabilidad. Éste, de hecho, es el caso en algunos países de América Latina y el Caribe. Si la mayor parte del sector privado que trabaja con los bosques tropicales, por algún motivo, comienza a rever su estrategia y reorientar sus inversiones hacia otras áreas, los gobiernos tendrán más problemas que resolver en el futuro. El sector privado está logrando internalizar gradualmente los costos adicionales asociados con la adopción de la OFS, pero para ello es fundamental garantizar la sustentabilidad económica de la industria de maderas tropicales. En
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principio, esto sólo es posible sobre la base de mecanismos del mercado y, por lo tanto, los gobiernos deben prestar más atención a las políticas comerciales a fin de establecer mejores mecanismos orientados a promover el comercio de maderas tropicales y participar activamente en los debates comerciales internacionales.
Falta de financiación en el sector privado En la mayoría de los países de la región de América Latina y el Caribe, especialmente Bolivia, Brasil y Perú, se ha contribuido a la adopción de la OFS con la promulgación de nueva legislación y una mejor aplicación de la ley, pero la sustentabilidad económica del proceso sigue cuestionándose. Desde la promulgación de la nueva legislación forestal en algunos países, por ejemplo en Bolivia y Perú, la transferencia de los costos de la OFS al sector privado, la aplicación de criterios demasiado estrictos para las prácticas forestales desde un comienzo, y la creación de varios órganos reguladores y una burocracia sin control, son todos factores que ahora forman parte de la ecuación que se debe resolver. De hecho, se ha creado el problema fundamental de transformar las actividades forestales en un negocio viable. En la práctica, la nueva ley forestal de Bolivia, en lugar de apoyar la OFS, ha creado costos nuevos y adicionales tanto para el sector privado como para el público, y este hecho ha perjudicado al sector forestal y a la economía boliviana en conjunto. Las actividades industriales se desmoronaron después de la entrada en vigor de la nueva ley, las exportaciones de productos forestales disminuyeron desde 1999 y las deudas del sector privado aumentaron vertiginosamente. Bolivia es una economía pequeña, pero tiene extensas zonas forestales que se pueden manejar de forma sostenible y la actividad forestal puede cumplir una función importante en el desarrollo socioeconómico del país. El sector forestal puede desempeñar un papel fundamental en Bolivia y no hay duda de que el deficiente rendimiento de la industria forestal en los últimos años ha contribuido a los crecientes problemas sociales y, por ende, a la inestabilidad política del país. Perú está siguiendo el mismo camino y también experimentará los mismos problemas en el futuro si las medidas reguladoras que se están debatiendo actualmente no tienen en cuenta las experiencias de Bolivia. En principio, los gobiernos deben reconocer los esfuerzos realizados por las diversas empresas privadas para lograr la ordenación forestal sostenible. En este contexto, es razonable aprovechar la experiencia adquirida por el sector privado, el verdadero responsable de la aplicación de la OFS. El deber del gobierno es conseguir la cooperación y concertación entre las distintas partes interesadas y defender los intereses nacionales genuinos. Asimismo, los gobiernos necesitan eficiencia para poner en práctica un marco jurídico de bajo costo y eficaz, teniendo en cuenta que las empresas deben competir en el mercado internacional. Es fundamental participar en los debates que tienen lugar en los foros internacionales para lograr la concertación en cuanto a las condiciones requeridas y asegurar el acceso al mercado.
CONCLUSIONES Y RECOMENDACIONES Sobre la base de los resultados de esta evaluación, un extenso análisis bibliográfico e investigación en el terreno, así como los estudios de casos específicos realizados, se pueden derivar las siguientes conclusiones principales:
Marco jurídico y progreso hacia la OFS Todos los países de América Latina y el Caribe han avanzado en el logro del Objetivo 2000 de la OIMT. En general, los países de la región han establecido un marco nacional de leyes, políticas y reglamentos que rigen los bosques de producción, conservación y protección. Los avances en materia de marcos normativos y jurídicos no han sido uniformes en toda la región. Por regla general, en los países con importantes actividades económicas en el bosque y una industria maderera activa, la aplicación de un marco normativo y jurídico ha sido más rápida que en aquellos países donde estas actividades tienen menos importancia para la economía local. Las iniciativas orientadas a fomentar la OFS a nivel nacional, en general, han sido coordinadas por los gobiernos de los respectivos países de la región, pero hay también otros interesados que contribuyen a las distintas iniciativas nacionales, inclusive organizaciones internacionales, ONGs, organismos de cooperación bilateral y multilateral, y el sector privado. El sector privado, por diversos motivos, no ha participado activamente en el establecimiento de bases para la adopción de la OFS y tampoco participa activamente en la deliberación y formulación de políticas nacionales relacionadas con los bosques y otros aspectos pertinentes. Si bien éste es el enfoque comúnmente adoptado por la mayoría de los gobiernos de la región cuando se trata del establecimiento de políticas, leyes y reglamentos (independientemente del sector o tema cubierto), los países tienen mucho que perder al no tener en cuenta la experiencia del actor más importante, el verdadero responsable de la aplicación de la OFS.
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En general, el proceso de formulación del marco normativo y jurídico en la región de América Latina y el Caribe se ha visto influenciado en gran medida por las ONG y la cooperación internacional. En muchos casos, este proceso ha culminado en la creación de un complejo marco regulador.
El sector privado y la OFS Pese a la existencia de algunos problemas, el sector privado de la región de América Latina y el Caribe ha realizado un progreso significativo en el camino hacia la OFS en los últimos años. Las empresas han incorporado el concepto de sustentabilidad en sus operaciones y su participación en el proceso de diálogo, aunque incipiente y limitada por la mayoría de los gobiernos, está aumentando. Las conclusiones derivadas de este estudio indican que desde el punto de vista del sector privado, las principales limitaciones para quienes desean adoptar la OFS en los bosques tropicales naturales se pueden agrupar en las siguientes categorías: •
•
Factores relacionados con la responsabilidad de los gobiernos: Incluyen un marco jurídico nacional complejo e inestable; problemas asociados con los derechos de propiedad, la tenencia de tierras y la definición de las zonas forestales permanentes; deficiencias en la aplicación de las leyes; falta de recursos humanos y carencia de avances científicos, información y transparencia. Factores relacionados con aspectos económicos y comerciales: Las principales limitaciones incluidas en este grupo comprenden las perspectivas del mercado para las especies EMC/EMU, las políticas comerciales mundiales y el aumento de impedimentos del mercado para las maderas tropicales, la competencia de la madera de plantaciones, la internalización de costos, las opciones financieras y la distribución de costos y beneficios asociados con el medio ambiente.
A continuación se presentan las principales conclusiones derivadas de este estudio desde la perspectiva del sector privado. Se observará que en algunos casos existe una superposición entre los factores relacionados con la responsabilidad de los gobiernos y los vinculados a aspectos económicos y comerciales. La complejidad del marco jurídico relacionado con la ordenación forestal, especialmente en los bosques tropicales naturales, la ineficiencia general de las instituciones correspondientes, los procesos burocráticos y la severidad de las normas propuestas, junto con el proceso de descentralización y la falta de recursos humanos, están creando problemas en la aplicación y el cumplimiento de la legislación forestal. El resultado final es un considerable aumento en los costos, lo cual conduce a un incremento de la ilegalidad y la corrupción. Por lo general, los gobiernos de la región tienen una capacidad limitada (y/u otras prioridades) para invertir en el fomento de la OFS. En consecuencia, en prácticamente todos los países, la adopción de mejores prácticas forestales y el mantenimiento de un sistema ineficiente de seguimiento y control traen aparejado un costo adicional que actualmente se cobra al sector privado. En suma, la conclusión basada en los resultados de este estudio es que, en realidad, el problema no es la falta de un marco normativo y jurídico, sino su complejidad y las dificultades planteadas en su aplicación. El futuro, desde el punto de vista del sector privado, es incierto. En general, se prevé que los costos de la OFS continuarán creciendo en los próximos años, en base al hecho de que se tenderá a incorporar nuevas cuestiones en el concepto de sustentabilidad y se necesitará mejorar aún más las prácticas forestales y la protección de los bosques. Los gobiernos de la región, en teoría, han definido zonas forestales permanentes. Según el país, estas zonas forestales pueden pertenecer en su mayor parte (o en su totalidad) al gobierno o pueden ser de propiedad pública y privada. En la práctica, los derechos de propiedad en la mayoría de los países (independientemente de quien tenga la tenencia) no se respetan. Al parecer, la extracción ilegal en las tierras forestales estatales es un problema mucho mayor que en las tierras privadas, debido a la limitada capacidad del gobierno para asegurar la tenencia. Los bosques gubernamentales terminan siendo la principal fuente de madera en troza ilegal dirigida a la industria maderera. Los derechos de propiedad en los bosques privados, en muchos casos, no se respetan. Es evidente que las presiones sociales, sumadas a una aplicación deficiente de la ley, representan un problema en la mayoría de los países cuando se trata de garantizar los derechos de propiedad. Asimismo, las decisiones del gobierno relativas a la adjudicación de tierras privadas para otros fines (como respuesta a las presiones sociales o por motivos ambientales) crean un clima de inestabilidad en relación con los derechos de propiedad, lo cual contribuye a la reducción de las inversiones del sector privado en la OFS. Los recursos humanos en todos los niveles (desde el nivel gerencial hasta el obrero) constituyen una limitación en prácticamente todos los países de la región. El sector privado considera que este aspecto debería estar bajo la responsabilidad del gobierno. Las empresas de mayor escala han encontrado alternativas, pero las pequeñas y medianas empresas (que constituyen la gran mayoría) son las que sufren.
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La mayor parte de las iniciativas orientadas al desarrollo de capacidad se han concentrado en la ordenación forestal. La cooperación internacional ha sido importante en este ámbito. Si bien se han alcanzado logros en este respecto, la conclusión del sector privado es que no son suficientes. Esta conclusión se basa en el hecho de que un bosque correctamente manejado no sobrevivirá si no se garantiza la sustentabilidad económica y, para lograrla, es necesario mejorar el manejo y las operaciones de toda la cadena de producción, desde el bosque hasta el mercado. En varios países se han realizado avances científicos en materia de ordenación de bosques naturales, pero aún queda mucho por hacer, y los gobiernos de la región han invertido muy poco en este respecto. En este ámbito también las organizaciones internacionales han contribuido, pero esta contribución no es eficaz, ya que a veces las prioridades de los gobiernos no son compatibles con las de los donantes y, en muchos casos, el método basado en proyectos no es sustentable. El desarrollo de investigación es problemático, pero, en realidad, el principal problema parece estar vinculado a la transferencia de los resultados de la investigación al sector privado, el principal actor en la aplicación de la OFS sobre el terreno. Los resultados de este estudio indican claramente que el sector privado es el principal responsable de la financiación de la ordenación forestal sostenible en la región. No existen incentivos o mecanismos financieros para respaldar las inversiones y compartir los costos relacionados con la adopción de la OFS. La aplicación de buenas prácticas y el cumplimiento de todos los extensos y complejos requisitos jurídicos se han visto limitados por el hecho de que la mayor parte de las empresas que trabajan en bosques tropicales naturales son de pequeña escala. En la práctica, este hecho ha menoscabado la sustentabilidad y una mayoría de las operaciones pueden teóricamente (conforme al marco jurídico actual) clasificarse como ilegales a pesar de los esfuerzos realizados para mejorar gradualmente las prácticas forestales. En este contexto, se plantean serios interrogantes con respecto al futuro de la mayoría de las empresas que operan en los bosques tropicales naturales de la región de América Latina y el Caribe. Los crecientes impedimentos del mercado y las iniciativas tales como el FLEGT de la UE tenderán a reducir las opciones de las pequeñas y medianas empresas (que son la gran mayoría) en los mercados internacionales. Con el cierre de las pequeñas y medianas empresas ciertamente no se resolverá el problema. La ilegalidad debe abordarse desde una perspectiva más amplia, y el hecho de que no se cumplan totalmente los requisitos jurídicos relacionados con las operaciones forestales probablemente no sea el principal problema. Las empresas de mayor envergadura han podido encontrar alternativas para internalizar los costos adicionales, utilizando sus propios fondos y recursos para aumentar la productividad y, a través del mercado, asegurar los recursos financieros necesarios. El aprovechamiento de las especies menos conocidas/utilizadas (EMC/EMU) y los procesos productivos de valor agregado son los aspectos principales considerados por el sector privado en su estrategia para internalizar los costos relacionados con la adopción de la OFS. Al aumentar el número de especies maderables, se reducen los costos de extracción y la presión ejercida sobre las especies de maderas tradicionales /nobles. La transformación de valor agregado es la opción que permite la introducción de nuevas especies en el mercado. Los esfuerzos del sector privado para introducir nuevas especies maderables y añadir valor a los procesos productivos, en muchos casos, han sido exitosos, pero se debe reconocer que los costos son altos y los cambios llevan mucho tiempo. En la región de América Latina y el Caribe, los gobiernos están comenzando a convencerse de que el sector privado es el principal (si no el único) agente económico capaz de internalizar los costos adicionales relacionados con la adopción de la OFS. Esto significa que se debe dar prioridad a la sustentabilidad económica de las operaciones, lo cual es una condición previa para satisfacer los criterios ambientales y sociales acordados. Todos los aspectos debatidos anteriormente revisten un carácter de sumo interés y su impacto en la sustentabilidad de las operaciones varía según los países, las condiciones locales y las empresas. Pese a que el futuro de la OFS continuará muy influenciado por la capacidad de inversión del sector privado, existen también factores intra e inter sectoriales que dependen principalmente de los gobiernos. Entre las medidas estratégicas más pertinentes que deben considerar los gobiernos para crear las condiciones adecuadas que faciliten la adopción de la OFS, se destacan las siguientes: • Creación de un clima de inversiones estable y definido Las actividades forestales sólo son sostenibles si están respaldadas por inversiones a largo plazo. En particular, en la región de América Latina y el Caribe, las garantías de acceso al recurso forestal (inclusive los aspectos relativos a las zonas forestales permanentes, derechos de propiedad y tenencia de tierras) constituyen uno de los instrumentos más importantes para atraer inversiones privadas al proceso de OFS. Un marco jurídico estable, y especialmente la aplicación eficaz de la legislación, revisten también especial interés para mejorar el clima de inversiones. Además, se necesita estabilidad y transparencia en los planos económico, político y legal.
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• Reducción de los costos de transacción Las operaciones del sector forestal, especialmente en el negocio de las maderas tropicales, se están tornando muy costosas en la mayoría de los países de la región. Ello reduce las ganancias y las inversiones, poniendo en tela de juicio la sustentabilidad económica. Los gobiernos de la región deben buscar alternativas, y encontrar la forma de mejorar la eficacia del marco regulador y los procedimientos burocráticos sería quizás la solución más sencilla en este momento, pero aportaría una valiosa contribución en la mayoría de los países. Existen otros costos de transacción en los países de la región que son comunes a todos los sectores comerciales y podrían ser tomados en consideración por los gobiernos en sus esfuerzos por aumentar la competitividad general de sus países. A otro nivel, el sector público podría emprender varias otras iniciativas para incentivar las inversiones privadas en la ordenación sostenible de los bosques tropicales de la región. Una posibilidad que debe considerarse es el establecimiento de mecanismos de incentivo para facilitar la adopción de la OFS y aumentar la competitividad del sector privado. Deberían diseñarse mecanismos para catalizar y acelerar el proceso de adopción de mejores prácticas forestales, e incluso se los podría considerar dentro del concepto de una alianza entre los sectores público y privado (APP), un mecanismo que actualmente se está debatiendo para otros sectores de la economía en varios países. Además de actuar a nivel nacional, los gobiernos de la región de América Latina y el Caribe necesitarán realizar un esfuerzo mancomunado en su participación en los foros internacionales. Los aspectos relativos a los bosques tropicales y a la producción y el comercio de maderas tropicales deberían abordarse preferentemente en coordinación con otros países productores de maderas tropicales. En los debates que están teniendo lugar en los foros internacionales, todo parece indicar que se propondrán nuevos impedimentos y barreras en el mercado. Por último, es de suma importancia que los gobiernos tengan en cuenta a todas las partes interesadas, especialmente el sector privado, cuando definan una estrategia a largo plazo y un plan de acción orientado a defender los intereses genuinos de los países y fomentar la adopción de la OFS. La experiencia y la capacidad financiera del sector privado no deben desdeñarse.
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1.0
INTRODUCTION
1.1 Project Background and Objectives The International Tropical Timber Organization (ITTO), based in the city of Yokohama, Japan, brings together 58 member nations with interests in the production and trade of tropical timber from sustainable sources of tropical forest. ITTO develops policies on sustainable tropical forest production and conservation. In 1989, based on a Council Decision, ITTO adopted the Year 2000 Objective. Project PD 48/99 Rev. 1 (M,F) “Sharing of Information and Experiences on Private Sector Success Stories in Sustainable Forest Management” was designed in line with the Year 2000 Objective. It aims to promote the sustainable management of tropical forest by facilitating access to and enhancing awareness of information and experiences on sustainable forest management (SFM) at the company level. This project derives from the urgent need to collect, compile and analyze global information on experiences with SFM to help promote “best practices” within the private sector of tropical timber producing countries. The project aims to provide a mechanism to survey and disseminate information on successful cases of SFM at the forest management (company) level. The development objective of the project is to promote sustainable management of tropical forests. Within this context the following specific objective was establish: “To facilitate access to and promote use of data, information and experiences on cases of successful forest management to contribute to the attainment of the ITTO Year 2000 Objective at forest management unit (company) level.” The project will fill the gap in the availability and dissemination of information and experiences on cases of successful implementation of sustainable management by the private sector. It can also be seen as a measure of how well ITTO’s Guidelines for the Sustainable Management of Natural Forests are being implemented and the level of progress that has been made towards the achievement of the Year 2000 Objective. Currently, clear, comprehensive and accurate information is not available in an integrated manner, to the extent that doubts are often raised whether sustainable management of tropical forests is economically and technically feasible. 1.2 Project Stages The project was carried out taking into account three stages: • Stage 1 – Q500 questionnaire In this stage, the major forest industry companies in the ITTO producing countries of the Latin America-Caribbean region were identified. The identified companies were surveyed through the Q500 questionnaire, regarding their general status on SFM and timber production practices. • Stage 2 – Q20 Questionnaire Based on the Q500 survey results, some companies that are successfully managing tropical forests on a sustainable basis were selected. An eligibility criteria was established by the Project Technical Committee. The selected companies were visited and surveyed through the Q20 questionnaire. Based on this questionnaire, a new selection was made based on best practices. Four companies were considered for the case studies. • Stage 3 – Final Regional Report As a final stage of the work, the Final Regional Report was prepared. The final report covers the extensive analysis of the Q500 questionnaire (Stage 1) and the Q20 questionnaire (Stage 2). To support the analysis made, a literature review on relevant issues was included. The report also includes information on the four case studies.
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1.3 Report Coverage Project PD 48/99 Rev. 1 (M,F) has a global coverage. It covers the ITTO producing countries, grouped into three major regions: Africa, Asia and Latin America-Caribbean. This report covers the Latin AmericaCaribbean region (see figure 1.1).
Figure 1.1. ITTO Producer countries in the Latin America-Caribbean region covered by this report
The ITTO member countries in this region are Bolivia, Brazil, Colombia, Ecuador; Guatemala, Guyana, Honduras, Panama, Peru, Suriname, Trinidad and Tobago, and Venezuela. A country profile of each ITTO producing country in the Latin America-Caribbean region is presented in Annex I. 2.0
CONCEPT OF SUSTAINABLE DEVELOPMENT AND SFM
2.1 Definitions The concept of “sustainability” and its application to the management of tropical forests is broad and difficult to define. Over the last two to three decades various definitions or concepts of SFM have been developed. The challenge has been to achieve a balance between the economical, ecological and social values associated with forest production and the use of forest resources. Ofosu-Asiedu (1997) indicates that: “Sustainable forest management aims at ensuring multi-purpose management of the forest so that its overall capacity to provide goods and services is not diminished. A sustainably managed forest will, therefore, provide timber on a sustainable basis, while at the same time ensuring a continuous supply of fuel wood, food and other goods and services to the communities living around it.”
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A recent paper prepared by the World Business Council for Sustainable Development on this issue indicates that SFM consists of practices that are economically feasible, ecologically sustainable and socially acceptable. These practices are described as follows: • Economic feasibility: is necessary any (commercially) active forest management, since the costs of such management must result in corresponding benefits; • Ecological sustainability: requires that the forest ecosystem maintains its structure and function; and • Social acceptability: requires that the results of forest management meet the needs of society. ITTO’s definition of SFM states that: “Sustainable forest management is the process of managing permanent forest land to achieve one or more clearly specified objectives of management with regard to the production of a continuous flow of desired forest products and services without undue reduction of its inherent values and future productivity and without undue undesirable effects on the physical and social environment.” To assist in the definition, assessment and monitoring of progress towards SFM, ITTO developed and endorsed in 1999 a set of 7 criteria and 66 indicators applicable at both, the national level and the forest management unit level. Despite the fact that numerous attempts (Tropical Forestry Action Plan, Montreal Process, Helsinki Process, International Forest Industry Round Table, ITTO and FSC Principles and Criteria) that have been made to define and assess SFM by developed principles, criteria, guidelines and performance measures, no single approach to SFM has been universally adopted, indicating the complexity of the problem at hand. Castellanos (2001), comments that when discussing the concept of SFM in broad terms there is a large level of agreement between the various parties (industry groups, conservationists, government departments, local community, international community, etc). However, when addressing specific situations, the level of disagreement between parties increases, due to different objectives and interpretations when assessing the range of demands on forests. These demands can include, but are not limited to: i) preservation of biodiversity; ii) maintenance of economic productivity; iii) respect for intergenerational equity; iv) responsibility for social and cultural needs; v) soil and water course protection; vi) safeguarding the values of native people and rural communities; vii) offering recreation; viii) preserving existing values; ix) landscape values; and x) other aspects. 2.2 Dimensions and Confusions in the Latin America-Caribbean Region Identification of where and when SFM in the Latin America-Caribbean region was first introduced is a bit unclear. Unfortunately, much of the literature related to the subject of SFM in this region does not clearly differentiate between SFM and the application of silvicultural treatments. Historically, the application of “sustainable” management of tropical forests in the region has been the adoption of classical models developed and utilized for the management of boreal forests. Variations of the Uniform (monocyclic) and Selective (polycyclic) models, which are mainly directed at improving forest productivity (timber values), have been developed and implemented in a number of countries in the region (Higuchi, 1992). In contrast, Fairhead and Leach (2001) indicate that one of the first documented attempts of forest management in the region was through the application of the tropical shelter wood system in the production forests of Trinidad and Tobago in the late 1920’s, and the development of the Periodic Block System in the 1930’s and 1940’s, also in Trinidad and Tobago. In the late 1960’s and early 1970’s, the CELOS management system (a combination of specialized harvesting and silvicultural systems) was developed and implemented, with somewhat limited success, in Suriname, Guyana, and other regional countries (Higuchi, 1992).
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More recently, the strip-clear-cut management system was developed and evaluated in Peru (Valle del Río Palcazu) as another system to be utilized in the development of sustainable forestry. However, the application of selective logging systems still dominates forest management practices in the Latin America-Caribbean region, normally based on a set of criteria such as the selection of species and/or the application of harvesting minimum diameters. In a review of tropical forest management practices, Catinot (1997) also acknowledges the development of two or three management systems (including the Periodic Block System and the CELOS management system) in the Latin America-Caribbean region. Catinot (1997) concludes that although forest management has been recognized worldwide, its implementation level varies greatly and is often very low. Catinot (1997), Tomaselli (2001) and Castellanos (2001), amongst others, suggest that some of the principal reasons for the slow progress in adoption of SFM are amounted to: i.
ii. iii. iv.
v. vi. vii. viii.
The extreme caution of governments towards a very new conception of forest management which commits them in the long term without the possibility of referring to previous tested results; The lack of enthusiasm of many companies, which similarly do not see any reason for changing their present logging practices without guarantees; Insufficient technical understanding of natural regeneration which has led to heavy silvicultural restrictions; The weight and rigidity of constraints imposed on harvesting (number of species to be harvested, short duration of harvesting operations, silvicultural operations that are required, etc); which can eventually jeopardize the financial position of the company; The emergence of social problems caused by the often illegal colonization of forest areas; Undeveloped markets for timber and processed products produced from secondary or lesser known species (LKS); Undefined property rights and changes in the “rules of the game” through new and updated legislation; Difficulties associated with the determination of the overall cost(s) and benefit(s) of forest management.
The utilization of natural resources, specifically natural forests, in a sustained manner has been addressed through legislation and the development of forest policies in a number of countries in the Latin America-Caribbean region. 2.3 Criteria and Indicators for sfm Sustainable management has become a common concern and is expressed in the active participation of all the countries of the Latin America-Caribbean region in processes to establish SFM criteria and indicators. These initiatives and processes are conceptually similar in objectives and overall approach, although differing in detail. National-level criteria of SFM focus on the following globally agreed elements: i) extent of forest resources; ii) biological diversity; iii) forest health and vitality; iv) productive functions of forests; v) protective functions of forests; vi) socio-economic benefits and needs; and vii) legal, policy and institutional framework. The indicators vary widely among initiatives owing to differences in forest types and environmental, social, political and cultural conditions. National-level criteria and indicators are being complemented by the development and implementation of criteria and indicators defined at the forest management unit level in a number of the processes as well as by other actors such as NGOs and the private sector. The degree of implementation of criteria and indicators at the national level varies considerably. In many cases, action is limited by the lack of trained personnel or institutional capacity for collecting and analyzing information and for following up the development and implementation of improved management prescriptions based on the information obtained.
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The eight signatory countries of the Amazon Cooperation Treaty – ACT (Bolivia, Brazil, Colombia, Ecuador, Guyana, Peru, Suriname and Venezuela) have identified 07 national-level criteria and 47 indicators within the Tarapoto Process for the Development of Criteria and Indicators for Sustainability of the Amazon Forest, launched in 1995. In addition, 04 criteria and 22 indicators were identified for the forest management unit level and 01 criterion and 07 indicators for the global level. National consultations for validation were carried out in each of the participating countries between December 1996 and July 2000 to evaluate the relevance and applicability of these criteria and indicators in light of national conditions and needs. The Lepaterique Process of Central America was initiated following the recommendations of an Expert Meeting on Criteria and Indicators for Sustainable Forest Management organized in 1997 by the Council for Forests and Protected Areas (CCAB-AP) in collaboration with FAO. Experts from the seven participating countries identified 08 national-level criteria and 53 indicators, as well as 04 criteria and 40 indicators at the regional level. The expert meeting was followed by two sub regional training workshops and seven national seminars, which reviewed applicability and availability of data and made recommendations on future implementation. Countries concerned are at present carrying out National Validation Exercises to review the criteria and indicators identified. The ITTO Criteria for Measuring Sustainable Tropical Forest Management were developed to support countries to achieve the Year 2000 Objective set by the organization. ITTO set of Criteria & Indicators are summarized in table 2.01. Table 2.1. ITTO’s criteria for sustainable forest management CRITERION 1 CRITERION 2 CRITERION 3 CRITERION 4 CRITERION 5 CRITERION 6 CRITERION 7
Enabling Conditions for Sustainable Forest Management Forest Resource Security Forest Ecosystem Health and Condition Flow of Forest Produce Biological Diversity Soil and Water Economic, Social, and Cultural Aspects
Source: ITTO
The ITTO criteria are oriented to the field, having as objective to focus on the current weakness that may occur in the forest management, and, in this way, to help identifying improvements achieved in management practices. They can also provide a basis for the standardization of the reports system, in order to make easier comparison and discussions for cooperation and assistance. When developing the ITTO criteria (and also the examples of indicators), it is recognized that its considerations and additions within the national forestry policies made by individual countries would constitute an essential step towards its implementation. It is expected that the progressive introduction testing and generating guidelines and criteria at the national level within the producer countries would guide its final development. As part of the Organization’s policy work, ITTO prepared and published the Manual on Criteria and Indicators for Sustainable Management of Natural Tropical Forests. This manual was designed to assist forest managers to assess progress towards SFM at Forest Management Unit (FMU) level and to report on the status of FMUs in an appropriate and standardized way. The Manual provides a clear and detailed description of the actions to be taken to measure and describe the 57 indicators listed in the ITTO Criteria and Indicators for Sustainable Management of Natural Tropical Forests (1998) that are applicable at the Forest Management Unit level. It is basically a practical guide for forest managers to measure and describe indicators applying to clearly defined forest areas, managed to a set of explicit objectives and according to long-term management plans. ITTO realized a Training Course on Auditing Systems for ITTO Criteria and Indicators for Sustainable Forest Management in Latin America. This course was held in Brazil, in April 2003. The primary objectives
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of the ITTO training course was: (i) to create capacity to design and implement appropriate auditing systems in participating countries; (ii) to train trainers to audit the ITTO Criteria and Indicators; iii) to contribute to capacity development in the formulation of national Criteria and Indicators based on the ITTO set; and (iv) to contribute to understanding of the requirements of the ITTO reporting format. The course was a five-day training course with a one-day practical work in a FMU. It accounted with eighteen participants from nine ITTO producing member countries from Latin America (Bolivia, Brazil, Colombia, Ecuador, Guatemala, Honduras, Panama, Peru, and Venezuela). Moreover, the Center for International Forestry Research (CIFOR), focusing largely on research at the FMU level, has assisted a number of countries in field-testing of criteria and indicators for SFM. In support of this work, CIFOR published the criteria and indicators tools series in 1999. 2.4
Certification and Ecolabelling Initiatives
2.4.1 general aspects Criteria and indicators provide a means to measure, monitor and demonstrate progress towards achieving sustainability of forest management in a given country or in a specified forest area over a period of time. Certification, on the other hand, is an instrument used to confirm the achievement of certain predefined minimum standards of forest management in a given forest at a given time. Certification is essentially a market tool, used by forest owners who perceive an economic benefit from undergoing the certification process. For many, the simplest form of measuring the success of SFM is to observe the degree, or extent, to which forest certification has been applied to forest areas within a country or region. Forest certification is rapidly expanding worldwide. The certified area in January 2002 was about 109 million ha, which is almost four times higher than two years earlier and twice the previous year. However, the total certified area is unevenly distributed with more than 90% of it located in developed countries (see figure 2.1). CERTIFIED FORESTS BY REGION
CERTIFIED FORESTS BY SYSTEM IN THE WORLD
Source: Simula et al, adapted by STCP
Figure 2.1. Certified forests in the world (2002)
One of the recognized systems of forest certification of tropical forests is the Forest Stewardship Council (FSC). In the Latin America-Caribbean region, FSC is the only certification system that has been adopted for extensive areas. Despite the significant participation of developing countries in FSC certifying system (accounting for 19% of the certified area), specifically Latin America-Caribbean region, accounts for only 3% of the total certified area in the world. Around the world, other certifications systems have been adopted, as for example the Pan-European Forest Certification (PEFC) in Europe, Sustainable Forestry Initiative in the US, and the Brazilian Forest Certification System (CERFLOR) in Brazil.
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2.4.2 FSC Certification SYSTEM The Forest Stewardship Council (FSC) was established in 1993 to support environmentally appropriate, socially beneficial, and economically viable management of the world’s forests. It is an association of Members consisting of a diverse group of representatives from environmental and social groups, the timber trade and forestry professionals, indigenous people’s organizations, community forestry groups, and forest product certification organizations from around the world. Membership is open to all who are involved in forestry or forest products and share its aims and objectives. FSC introduced an international labelling scheme for forest products, which provides a credible guarantee that the product comes from a well-managed forest. All forest products carrying the FSC logo have been independently certified as coming from forests that meet the internationally recognized FSC Principles and Criteria of Forest Stewardship. The development of FSC certification system is evident not only in the management of the forests, but also in the marketing of forest products, with over 5,000 products bearing the logo of the FSC. Some of the major marketing successes of FSC have been the agreements formulated with the international homecenters, for example IKEA, B & Q and Home Depot. a. National Initiatives FSC encourages and supports national and regional initiatives, which are in line with the FSC mission. These include: i) FSC Contact Person (now in 24 countries); ii) FSC Working Group (in 12 countries); iii) FSC Advisory Board; and iv) FSC National or Regional Office. The objective of the FSC National Initiatives Program is to decentralize the work of FSC and to encourage local participation. Goals are to promote and assist initiatives around the world for the development of national or regional support base for FSC and its missions in a country or region, and for the implementation of FSC programs and activities at national or regional level. In the Latin AmericaCaribbean region, there are FSC National Initiatives in Argentina, Bolivia, Brazil, Colombia, Ecuador, and Peru. b. FSC Principles and Criteria FSC is an international body that accredits certification organizations in order to guarantee the authenticity of their claims. In all case forest owners and managers who request the services of a certification organization will initiate the process of certification voluntarily. The goal of FSC is to promote environmentally responsible, socially beneficial and economically viable management of the world’s forests, by establishing a worldwide standard of recognized and respected Principles of Forest Stewardship (see table 2.2). Table 2.2. FSC principles for forest management PRINCIPLE 1 PRINCIPLE 2 PRINCIPLE 3 PRINCIPLE 4 PRINCIPLE 5 PRINCIPLE 6 PRINCIPLE 7 PRINCIPLE 8 PRINCIPLE 9 PRINCIPLE 10
Compliance with Laws and FSC Principles Tenure and Use Rights and Responsibilities Indigenous Peoples’ Rights Community Relations and Worker’s Rights Benefits from the Forest Environmental Impact Management Plan Monitoring and Assessment Maintenance of High Conservation Value Forests Plantations
Source: FSC
In fact, the FSC Principles & Criteria should be used in conjunction with national and international laws and regulations. FSC intends to complement, not supplant, other initiatives that support responsible forest management worldwide.
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c. Global and Regional Results Since 1993, the global area of forests certified by FSC (including natural and plantation forests) has grown from a little more than 0.5 million ha to more than 40 million ha in 2003 (see figure 2.2). While the area of 40 million ha sounds impressive, when placed in the global context the forest area certified by FSC only represents 1% of global forest cover (3,869 million ha).
Source: FSC
Figure 2.2. Evolution of the global forest areas certified by FSC
The extent of forest area certified by FSC in the ITTO producer countries of the Latin AmericaCaribbean region is demonstrated in table 2.03. As it can be observed, there are seven countries that have forest areas certified by FSC (Bolivia, Brazil, Colombia, Ecuador, Guatemala, Honduras and Panama), which account for more than 2.9 million ha, and represent 7.3% of the total area certified by FSC worldwide. Notably, in the Latin America-Caribbean ITTO producer countries natural forests certified by FSC account for approximately 67% of the total certified area, with plantation forests representing 32% and mixed (plantation and natural) the remaining 1%. Once again, whilst the area of 2.9 million ha is impressive when it is compared to the total forest area of the producer countries (814 million ha), the area of FSC certified forest represents less than 0.4% of the total forest area. Table 2.3. Forest areas certified by FSC in ITTO producer countries in the Latin America-Caribbean region (2003)
(ha) COUNTRY Bolivia Brazil Colombia Ecuador Guatemala Honduras Panama TOTAL (1) Semi-natural
FOREST TYPE
TOTAL
PLANTATION
NATURAL
MIXED(1)
896,249 20,056 1,341 3,362 9,991
946,888 527,450 431,728 37,277 -
13,920 20,000 -
946,888 1,437,619 20,056 21,341 435,090 37,277 9,991
930,999
1,943,343
33,920
2,908,262
and mixed plantation and natural forest
Source: FSC
2.4.3 CERFLOR Certification System The Brazilian Forest Certification System (CERFLOR) started in the late 80’s, but developments in the past were slow. The system is now operational for forest plantations, and the first management unity was certified in early 2003. The development of CERFLOR system to cover natural tropical forests is expected to be completed in 2004.
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CERFLOR is part of the Brazilian certification system, under ABNT (Brazilian Association of Technical Standards) and INMETRO (Brazilian Institute of Metrology, Standardization and Industrial Quality) scheme. INMETRO is the national accreditation body, which establishes norms for auditing the compliance to the standard based on international accreditation standards. a. CERFLOR Principles, Criteria and Indicators The standard has a consistent hierarchical structure where principles define the subject areas; criteria specific requirements and indicators provide data for the assessment. CERFLOR standards consist of five principles, as it can be observed in table 2.4. Table 2.4. CERFLOR principles for certification PRINCIPLE 1 PRINCIPLE 2 PRINCIPLE 3 PRINCIPLE 4 PRINCIPLE 5
Conformance to Legislation Sustainable Use of Forest Resources and Short, Medium and Long Term Planning Biological Diversity Respect for Water, Soil and Air Environmental, Economic and Social Development in the Regions of Forestry Activities
A total of 19 criteria specify the requirements under each principle and 02 to 09 indicators under each criterion provide data for the assessment of conformance to the criteria. In general, the indicators cover quite well the whole scope of the respective criteria, but consideration on the issue should be paid in the certification audits, to ensure a full compliance with the set criteria, not only indicators. b. Compatibility with International Requirements CERFLOR Principles, Criteria, and Indicators are basically compatible with the requirements of PEFC and FSC frameworks. However, based on a recent study carried out by an independent consultant hired by SBS (Brazilian Forestry Society), specific non-conformities were identified and they should be taken into consideration in the further development of the standard. The main issues are as follows: i. Economic criteria of CERFLOR standard do not address the investment rate in forestry nor the sharing of the costs and benefits related to forestry operations; ii. No provisions are given to non-wood products or recreation in CERFLOR criteria; iii. The rights to control and maintain e.g. customary use-rights by local population (including indigenous people) are not addressed; iv. No provisions are given in CERFLOR scheme to compensate the local population for the use of the resources, including indigenous people; v. Statements to legislation on important issues are not considered in the CERFLOR scheme, for instance regulations related to the use of pesticides as well as to legal reserves; vi. Standards require that important unique ecosystems shall be preserved, but does not make reference to any source that would define the agreed attributes for such forests; vii. International frameworks favor the use of domestic tree-species and FSC gives restrictions on the use of exotic species, while CERFLOR does not consider this issue. Although, CERFLOR and PEFC seem to be quite similar, local conditions are not. In Brazil, for example, the poverty level is much higher than in Europe, there are many problems related to land tenancy, the forestry sector is much more regulated, and so on. Such local conditions will be the main obstacle for an advance in Brazil’s certification process. There are some international initiatives related to the possibilities for mutual recognition between different international and national certification schemes. For instance, the International Forest Industries Roundtable (IFIR) undertook the task to establish general rules for the mutual recognition process.
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However, it is important to note that some international certification schemes provide a forum for mutual recognition of schemes. It is the case of PEFC, in spite of the fact that the rules for mutual recognition are still under development. Recently CERFLOR jointed PEFC. This fact and adjustments in the system will facilitate the international recognition of CERFLOR. 3.0
REGIONAL FORESTRY SITUATION
3.1 Forest Cover According to FAO, the ITTO producer countries in the Latin America-Caribbean region cover a total area of approximately 1,225 billion ha of which just over 66% of the area (807 million ha) is covered by tropical forests (see table 3.1). The area covered by tropical forests in the Latin America-Caribbean region represents 21% of the total forest area in the world. The largest concentration of tropical forests in the Latin America-Caribbean region is associated with the Amazon Forest, which is considered the world’s richest ecosystem in terms of biodiversity. Many commercially important and valuable timber species such as mahogany, cedro, ipê, jatobá, virola and several other species are from this region (see box 3.1). Big leaf mahogany (Swietania macrophylla) is Peru’s most important timber species and represents 80% of timber exports. High prices on the international market and decline in supply in other producer countries have fuelled a boom in illegal mahogany extraction in the Peruvian Selva. Peru is now the world’s major mahogany exporter with approximately 70,000 m3/year, twice Brazil’s exports, valued at USD 50 million annually. There is no reliable data on the natural dynamics, distribution and stocking rates of mahogany in Peru, but experts have estimated that at current harvesting rates the species will be commercially extinct in the country within 5 to 10 years. In November 2002, the species was placed on Appendix II of CITES, against the wishes of the Peruvian industry and Government. Following the provisions of CITES, as of November 2003, all exports of mahogany will have to be accompanied by a certificate issued by Peru’s CITES scientific authority (in this case the Forestry Faculty at the National Agrarian University of La Molina) stating that the shipment in question is not detrimental to the conservation of the species. In the absence of a reliable forest inventory, and data on mahogany in particular, it is unclear how such certificates could be issued, without leading to challenges from importing countries. There is thus a real prospect of a crisis in the mahogany industry before the end of 2003. Box 3.1. The importance of mahogany to the peruvian economy Big leaf mahogany (Swietania macrophylla) is Peru’s most important timber species and represents 80% of timber exports. High prices on the international market and decline in supply in other producer countries have fuelled a boom in illegal mahogany extraction in the Peruvian Selva. Peru is now the world’s major mahogany exporter with approximately 70,000 m3/year, twice Brazil’s exports, valued at USD 50 million annually. There is no reliable data on the natural dynamics, distribution and stocking rates of mahogany in Peru, but experts have estimated that at current harvesting rates the species will be commercially extinct in the country within 5 to 10 years. In November 2002, the species was placed on Appendix II of CITES, against the wishes of the Peruvian industry and Government. Following the provisions of CITES, as of November 2003, all exports of mahogany will have to be accompanied by a certificate issued by Peru’s CITES scientific authority (in this case the Forestry Faculty at the National Agrarian University of La Molina) stating that the shipment in question is not detrimental to the conservation of the species. In the absence of a reliable forest inventory, and data on mahogany in particular, it is unclear how such certificates could be issued, without leading to challenges from importing countries. There is thus a real prospect of a crisis in the mahogany industry before the end of 2003. Source: Achieving the ITTO objective 2000 and sustainable forest management in Peru (ITTO, 2003)
Forest plantation areas in the ITTO producer countries of the Latin America-Caribbean region are relatively small, contributing with less than 1% of the total forested area. Regarding the world’s planted area, the Latin American/Caribbean region accounts for 4% of the total. The forest plantation areas of the region are concentrated in Brazil, which accounts for nearly 70% of the total area dedicated to forest plantations.
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Table 3.1. Total land area and forest cover of the countries in the Latin America-Caribbean Region (2000) FOREST AREA (1,000 ha) COUNTRY BOLIVIA BRAZIL COLOMBIA ECUADOR GUATEMALA GUYANA HONDURAS PANAMA PERU SURINAME TRINIDAD AND TOBAGO VENEZUELA TOTAL
AREA (1,000 ha)
NATURAL FOREST
FOREST PLANTATION
108,438 845,651 103,871 27,684 10,843 21,498 11,189 7,443 128,000 15,600 513 88,206
53,022 538,924 49,460 10,390 2,717 16,867 5,335 2,836 64,575 14,100 244 48,643
46 4,982 141 167 133 12 48 40 640 13 15 863
53,086 543,905 49,601 10,557 2,850 16,879 5,383 2,876 65,215 14,113 259 49,506
1,225,480
807,113
7,100
814,213
TOTAL
Source: FAO, 2003
3.2 Tropical Log Production The annual global production of tropical logs by all of the ITTO producer countries over the years 1995-2002 fluctuated between 121 and 135 million m3. Tropical log production by the ITTO Asia-Pacific producer countries accounts for approximately 60% of the global production, whilst the Latin America-Caribbean region accounts for approximately 30% and Africa the remaining 10% of the global production (see figure 3.1). According to ITTO data, in the last 5 years, the annual production of tropical logs, for industrial purposes, by the ITTO producer countries in the Latin America-Caribbean region has gradually increased from 35.5 to 35.9 million m3.
Source: ITTO
Figure 3.1. Global tropical log production by ITTO producer regions
Analyzing the tropical log production for 2002, in the Latin America-Caribbean region (see figure 3.2), it is evident that Brazil is the main log producer. The review of the world timber situation by ITTO indicates that tropical log production in the region was in 2002 around 35.9 million m3, and 72% (26 million m3) was in Brazil. The other large producers were Colombia (1.6 million m3), Ecuador (5.3 million m3) and Peru (1.1 million m3). Tropical log produced by the ITTO Latin America-Caribbean region member countries is mainly consumed locally for sawnwood, plywood, and secondary processed products. According to ITTO, in 2001, the Latin America-Caribbean ITTO producer countries exported only 2% of the tropical log production, considerably less than the levels of tropical log exports experienced by the Asia-Pacific and Africa regions (65.7% and 32.2% respectively). In most of the producer countries in the Latin America-Caribbean region the exports of logs is expressly prohibited, aiming to decrease deforestation and to promote the local processing.
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It is generally recognized that the prohibition of log exports has lead to lower log prices. This has act as a disincentive for the improvement of processing efficiencies, leading to an increase in harvesting of forest resources. Such situation, to some extent, does not favour sustained forest management.
Source: ITTO
Figure 3.2. Distribution of tropical log production by the ITTO producer countries in the Latin America-Caribbean region (2002)
3.3 Deforestation and their Causes Deforestation and degradation of the forest ecosystem, including fragmentation and biodiversity loss, are caused by conversion of forest land to other uses and non-sustainable use of forests. Forest fires, always a natural force in forest ecosystems, have also become a major problem. In the last two decades, the Latin America-Caribbean region has been affected by deforestation and forest degradation. Despite the recent efforts to revert this situation, the area of natural forest, mainly tropical forest, in the Latin America-Caribbean ITTO producer countries continued to decline systematically. According to FAO data, the annual change in forest cover (deforestation) of the ITTO producer countries in the Latin America-Caribbean region is estimated to be in the order of -3.5 million ha per year (see table 3.2), being heavily influenced by the large areas of deforestation in Brazil (an average of -2.3 million ha/year). In terms of deforestation, Guatemala, Panama, and Ecuador have the highest annual rates (see box 3.2). Table 3.2. Change in forest area of the ITTO producer countries in the Latin America-Caribbean region (1990–2000) FOREST COVER CHANGE 1990-2000
COUNTRY
TOTAL FORESTS 1990 (1,000 ha)
TOTAL FORESTS 2000 (1,000 ha)
BOLIVIA BRAZIL COLOMBIA ECUADOR GUATEMALA GUYANA HONDURAS PANAMA PERU SURINAME TRINIDAD AND TOBAGO VENEZUELA
54,679 566,998 51,506 11,929 3,387 17,365 5,972 3,395 67,903 14,768 281 51,681
53,068 543,905 49,601 10,557 2,850 16,879 5,383 2,876 65,215 na 259 49,506
-161 -2,309 -190 -137 -54 -49 -59 -52 -269 na -2 -218
-0.3 -0.4 -0.4 -1.2 -1.7 -0.3 -1.0 -1.6 -0.4 na -0.8 -0.4
TOTAL
851.854
802,099
-3,500
-0.4
Source: FAO
ANNUAL CHANGE ANNUAL RATE (1,000 ha) OF CHANGE (%)
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The causes of deforestation in the Latin America-Caribbean region are quite complex. According to FAO (1999), deforestation in Latin American/Caribbean countries is associated to many causes, among them: i. Spontaneous (and illegal) settlement; ii. Irrational industrial over harvesting; iii. Forest fires; iv. Pests and diseases; v. Mining and oil extraction; vi. Construction of infrastructure; and vii. Governmental settlement and development policies. Despite the fact that deforestation in the Latin America-Caribbean region is associated with many factors, the driving force of deforestation in the Latin America-Caribbean region is mainly associated with the expansion of agriculture and permanent pasture. On one hand, commercial farmers have cleared large areas for soybean plantation in Brazil and Bolivia, for coffee plantation in Brazil and Colombia, and for banana plantation in Central America, Colombia and Ecuador. On the other hand, small-scale farmers also cause deforestation by employing slash-and-burn practices to extend their agricultural lands into forests. Box 3.2. Deforestation and illegal logging in Ecuador Spanning the Amazon rainforest, the Andes, costal lowlands and the Galapagos islands, Ecuador is the world’s most biodiverse country in relation to its area, being home to dozens of animal species and many rare plants. Yet the country presents the highest deforestation rate in South America. According to official figures, 150,000 ha of primary forest are felled each year. However, unofficial sources estimate twice as much, attributing to illegal logging the major responsibility for the country’s deforestation. Ecuador’s Wood Industry Association reckons that 70% of all timber sold in the country is illegally felled. In 1999, the government, with the help of international organizations, came up with a scheme to change this situation. First, a body called Green Surveillance was created, being composed of NGOs, the police, the army and the Environment Ministry. This body was given responsibility for policing the transport of illegal timber. Soon, the team captured almost six times as much illegal timber in 2002 as the ministry had when it acted alone. The second measure was the hiring of Swiss Société Générale de Surveillance (SGS) to administer logging licenses in return for a tax on legal sales of wood. This angered the timber industry and SGS became the target of violent protests, with staff attacked, offices ransacked and computers stolen. The timber industry claims to be in favour of controls on illegal logging, but in fact, it is the main opponent of the new system. Besides the physical attacks, a wave of lawsuits has been unleashed. Since Ecuador’s judiciary is notoriously political and corrupt, despite the president Lucio Gutiérrez attempts to clean up corruption, it will still take time to know what side will win this battle. Source: The Economist (2003)
Land tenure regulations are part of the problem. In the Amazon and Central America, local communities own significant proportions of forests while in Brazil most forests are privately owned. Elsewhere, the state is the major forest owner. When legal property rights over land are not clear, people tend to clear and build on areas to establish a claim to them. Forest cover may also be removed to keep areas accessible when forest communities fear that forests may be declared protected areas, limiting community rights to use the forest (Contreras & Hermosilla, 2000). Deforestation has worsened in some countries because of policies designed to increase economic growth. Subsidies are a contributing factor. For example, subsidies directed towards improving the productivity of existing agricultural lands should ease the pressure for more land and therefore reduce the pressure for clearing more forests. However, agricultural incentives can result in higher land ownership and more mechanized, capital-intensive methods of production which displace farm workers. Unemployed workers have migrated into forests in the Amazon, in the Cerrados of Brazil, and in Santa Cruz, Bolivia (Contreras & Hermosilla, 2000). Livestock expansion and mechanized agriculture account for more loss of forest cover than wood production, which is concentrated in relatively few countries. Timber exploitation may also cause deforestation by opening up previously forested areas to smallscale farming. In addition, selective logging can eliminate certain tree-species, changing forest composition.
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It is worth noticing that harvesting trees for fuel wood (a major cause in other tropical areas of the world) is only a secondary contributor to deforestation in the Latin America-Caribbean region. The construction of infrastructure, as for instance roads, also contributes to loss of forest cover. Between 400 and 2,000 ha of forest may be removed for each km of new road built through it. In Brazil, for example in the State of Pará, deforestation due to road construction increased from 0.6 to 17.3% of the State’s area during 1972-1985 (Contreras & Hermosilla, 2000). In Ecuador, Peru and Venezuela, mining corporations and individual miners clear large areas of forests (MineWatch, 1997; Miranda and others, 1998). The effects of deforestation, forest degradation and forest fires represent a permanent loss of the potential capacity of forest resources to generate economic benefits (CDEA, 1992). These impacts are more severe in some countries than others. Most Caribbean countries have depleted forest resources so much that they must now import forest products, creating an additional need for foreign exchange. In countries with extensive forest resources, such as Brazil, Peru and Bolivia, deforestation has had less overall impact, although at the local level the impact can be significant. 3.4 Area under Protection The ITTO producer countries in the Latin America-Caribbean region have recognized the environmental importance of their forests. Over the last 3-5 years, several member countries have made structural changes in government organizations, redefined policies, and increased community participation in relation to forest conservation and management. The countries have established protected areas in the form of: i) national parks and recreational areas; ii) forest and biological reserves; iii) environmental protection areas; iv) indigenous reserves; v) ecological zones; vi) nature sanctuaries; vii) national monuments; and viii) others. Based on data from FAO (1999), the area under protection in the Latin America-Caribbean ITTO producer countries is estimated to be around 172 million ha, which represents approximately 14% of the region’s total area (see table 3.3) Table 3.3. Magnitude of the protected area in the ITTO producer countries in the Latin America-Caribbean region (1998)
COUNTRY
AREA (1,000 ha)
BOLIVIA BRAZIL COLOMBIA ECUADOR GUATEMALA GUYANA HONDURAS PANAMA PERU SURINAME TRINIDAD AND TOBAGO VENEZUELA
54,679 845,651 103,871 27,684 10,843 21,498 11,189 7,443 128,000 15,600 513 88,206
19,000 123,000 9,186 4,600 2,300 na 2,800 2,200 na 794 na 8,100
34.8 14.5 8.8 16.6 21.2 na 25.0 29.6 Na 5.1 na 9.2
1,225,480
171,980
14.0
TOTAL
PROTECTED AREA (1,000 ha)
% OF NATIONAL TERRITORY
Source: FAO, 1999
Despite large forest area under protection in the Latin America-Caribbean region, it is worth mentioning that many protected areas were not set aside trough a process of comprehensive planning. As a result, they are less than ideally situated (in size, shape, life zones, etc) with respect to protecting wildlife, conserving biological diversity, and meeting other scientific and conservation objectives (see box 3.03). At the same time, various ecological types are underrepresented in protected area systems. Many protected areas exist only on paper (IADB, 1999).
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Box 3.3. Umucumaque National Park – The largest conservation unity of tropical forest in the world A week prior to the United Nations World Conference for the Environment (Rio+10) in August 2002, the then president of Brazil, Fernando Henrique Cardoso, announced the creation of the Tumucumaque National Park, the largest conservation unity of tropical forest in the world. With the announcement, Salonga Park, in Congo, lost the title of the world’s largest conservation unity by a difference of 270 thousand ha. Tumucumaque National Park has an area of 3.8 million ha, equivalent in size to Belgium, and is located in the State of Amapá, in northern Brazil. The reserve is located in the so-called Guyana ecological region, considered to be one of the world’s most gifted, with almost 90% of its water intact and a very large number of species, many of them endemic ones, that is, species that are found only in the region and nowhere else in the world. The springs of all the major rivers of the State can be found in the region which is also supposed to have about 20 thousand plant species (35% of endemism), around 975 bird species, 282 mammal species (27 endemics), 280 reptile species (76 endemics), 272 amphibian species (127 endemics) and 2,200 fish species (700 endemics). Besides its importance in terms of fauna and flora, the region is also extremely important to the so-called environmental services, like the conservation of water quality (10 to 15% of the sweet water available in the planet), the regulation of the regional weather and the equilibrium of the atmospheric carbonic gas and oxygen. The discussion about the creation of Tumucumaque took only 6 months and it became a complaint by representatives from the civil society and members of the State of Amapá. The park occupies part of the land of 5 municipalities, immobilizing 26% of the State’s territory, and the compensations were restrict to developing initiatives. Many alternatives proposed by local organizations were not taken into account by the working group established to conduct the discussion on the creation of the park. The main concern is that Tumucumaque, without the needed infrastructure, becomes another conservation unity just in the paper, just like many other conservation unities in the country. In response to the requests, the Environment Ministry declared that the proposals are positive and they may be implemented since the government has allocated around USD 3 million to the conservation unities of Amapá. Source: Rede Nacional Pró-Unidades de Conservação, adapted by Tomaselli (2003)
Part of the protected areas in many countries of the region are subject to serious administrative deficiencies, resulting in problems such as illegal removal of timber and non-timber forest products, illegal occupation of areas, intentional fires, reduction of wildlife and the pollution of water supplies. In fact, the problem is not just the establishment of forest area under protection, but the establishment of efficient mechanisms of controlling and monitoring. Moreover, in several countries, legislation to strength the legal status of protected areas is recent and largely untested. Legal protection often conflicts with the customary rights of indigenous and peasant communities. While in recent years, administrators and managers of protected areas have been sensitive to the “people issue”, awareness is not in itself always sufficient to resolve fundamental conflicts (IADB, 1999). Influential NGOs, international banks, and numerous assistance agencies enthusiastically endorse increased funding for protected areas. Yet, in practice, national governments offer lack strategies for revenue international programs. In view of the many organizational links that are desired, institutional coordination poses significant challenges. 3.5 Stakeholders in SFM Various actors play direct or indirect roles in defining forest sector policies to SFM in the Latin AmericaCaribbean region. These actors include the following groups: I) the government through its various sectorial agencies; ii) international organizations that supply financial and technical assistance; iii) private interests such as timber companies, ranchers and farmers; iv) national and international environmental groups; and v) forest inhabitants, among them indigenous communities, colonists relying on subsistence agriculture and extractivist groups (Astorga, 1996). The amount of influence each group can exert will determine which interests will be favoured and which will be limited in the formulation and implementation of forest policies and programs (de Franco et al, 1995). In addition, it is difficult to establish a consensus between groups that pursue short-term economic interests and favouring long-term preservation of the resource (Cortés, 1995), however some countries, as for instance, Peru, has institutionalized stakeholder dialogue to reach such consensus (see box 3.4). Even so, the emergence of sustainable development as the guiding principle for economic development implies that this principle will be incorporated into the general framework of forest policies. To simplify discussion the actors above mentioned have been classified into four broad categories (Gregersen, 1996). They are:
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Box 3.4. Institutionalised stakeholder dialogue in peru An institutionalised roundtable process for stakeholder dialogue (Mesa de Diálogo y Concertación Forestal, MDCF) has been set up during the process of development of the forest legislation and the national forest strategy in Peru. The MDCF is chaired by the Minister of Agriculture, supported by the Coordinator of the National Forest Strategy. The MDCF participants (more than 30 in total) represent the public sector institutions, private sector associations and organizations, environmental NGOs and organisations of the native and rural communities. The MDCF guides the further refinement and implementation of the key instruments for forest decision-makers. The specific functions of the MDCF are: i) to resolve concrete problems in forest policy implementation; and ii) to assist the stakeholders in their efforts and facilitate access to information and communication. The MDCF process has been exemplary in establishing a good dialogue and communication channel among the various players of the forest sector, including government authorities, industrialists and NGOs. While in other Latin American countries, many of these actors are entrenched in opposite camps, in Peru there is a good understanding and frank dialogue amongst them. Source: Achieving the ITTO objective 2000 and sustainable forest management in Peru (ITTO, 2003)
a. Conservationists Naturalist, aesthetic, scientific, and even economic motivations lead people to take a conservationist stand. Generally, the conservationist category represents those groups advocating the conservation of forests in their most pristine state. The principal group consists of national and international non-governmental organizations (NGOs) dedicated to the preservation of flora and fauna (among them IUCN, WWF, Greenpeace, The Nature Conservancy Conservation International and their national analogs). The introduction of sustainable development as a concept has led these organizations to recognize the need for cooperation with groups whose forest use will also protect biodiversity and the various functions and services provided by forests. Conservationists view the environment as a central factor within the framework of development (PascóFont, 1994). They have focused their efforts primarily on pressuring governments to establish and maintain protected areas, national parks, and buffer zones as a means of protecting ecosystems or areas with high biological diversity. A secondary conservation objective is the undertaking of scientific, conservation or economic programs together with public sector agencies, local communities, or both. In this way, conservationists try to combine their goals with the objectives of rural development. b. Traditional Inhabitants This category includes communities that have traditionally lived in the forest and currently derive their livelihood from forest products without changing the fundamental character of their environment. These groups harvest animals and plants, and carry out subsistence agriculture and animal husbandry. They tend to generate few disruptions to the ecological equilibrium of their environment because of low-impact survival strategies, limited population size, or minimal access to technology. Traditional inhabitants include: (i) indigenous populations of humid tropical forests, and (ii) traditional resource extractors, encompassing indigenous groups and colonists that have settled in the jungle and that dedicate themselves individually or in organized form to the harvest of forest products using methods that support conservation objectives (Cortés, 1995). c. Producers This group includes owners of forested lands, timber companies, concession holders, managers of stateowned reserves, forest industries dependent on supplies of roundwood, and indigenous and communities that depend on the extraction of wood and intensive exploitation of forest products. Although all of these groups depend on a steady timber supply, only in the last few years some firms or landowners undertake their operations through SFM. Until recently, selective logging predominated in tropical forest in the Latin America-Caribbean region. The principal objective of producers is to obtain sufficient profits from the use of the forest. They accept the need to change the structure of the forest in order to achieve their objectives. While some producers fight conservationists, others try to incorporate environmental remediation and reclamation measures in order to market themselves as “green”. Conversely, some property owners and concession holders harvest the forest cover and timber and then abandon these areas, which are subject colonization, commercial
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agriculture, and livestock production. The justification for permitting such deforestation is that forestry in these areas is not economically profitable because of long periods between harvests. This situation may be due in part to lack of incentives for forest management in contrast to the incentives available for alternative land uses. d. Converters This group includes cattle ranchers, farmers, builders of dams and airports, oil and mining companies, and informal miners, as well as public sector agencies responsible for land reform, rural development and colonization programs – all of which generate a local demand for land best suited to forest cover but used for other ends. Converters are not interested in forestry, but wish to transfer the land to uses such as agriculture, pasture, roads, housing, among others – all for economic gain. 3.6
Private Sector Involvement in SFM
a. Background In the past, as in other parts of the world, forests in the Latin America-Caribbean region were considered an obstacle to development and to have relatively low economic importance. In fact, until recent years, the potential of forests to contribute to the social and economic development of the region was, with the exception of some countries, not fully recognized. For a long time the region had a negative international forest products trade balance. Only after the 1960’s did land, agriculture and forest policies developed by some countries, contribute to changing economic perspectives related to forests and forestry in the region. In the 1960’s and 1970’s new forestry policies put in place had a substantial impact particularly in Brazil. The country developed fiscal incentive programs to support the establishment of fast growing forest plantations. In a short period, the plantations made available uniform and low priced raw material and this has been recognized, as probably the most important element to attract capital needed to further develop forests, and also to establish a competitive forestry industry in these countries. Around the same period, land and agriculture policies, including incentives, led to the occupation of tropical forest areas, especially in Brazil. As a result, large volumes of high quality and low priced tropical timber were made available. In addition, during that period the tropical timber industry was flourishing in Asia and tropical timber products gained new markets. These facts opened new perspectives for investment, particularly in the Amazon basin, but forest operations were carried out mostly based on unsustainable practices. Following the 1992 Rio Summit, SFM started to occupy more space in the global discussions. Many Latin American/Caribbean countries, as in other parts of the world, started to develop and implement new policies and mechanisms to enforce the adoption of SFM. To achieve desirable changes (improvements) in forest practices, new and additional financial resources are required. The issue started to be discussed domestically and also became part of discussions in international fora. The discussions continue, and mobilization of international and domestic financial resources for SFM remains one of the most critical and politically sensitive issues on the international agenda. It has been recognized that availability of domestic public funds especially in developing countries, even when combined with resources made available by international cooperation, have not been sufficient to implement SFM. It has also been recognized that additional funds should be made available and that the private sector has a role to play, and that it can fill the gap between the needs and the present availability. Currently, the flow of capital from the public and private sector is directed mostly at monoculture plantations and is concentrated in a few countries of the region. Thus the financial resources needed to ensure SFM in natural forests, particularly in the less developed (tropical) countries, are still limited. Some aspects of private sector involvement in SFM in the Latin America-Caribbean region are discussed in the sequence. b. Forest Tenure A very large share of Latin America’s forests, particularly its natural forests, is nominally state-owned (de jure property rights). Public ownership of forests is generally justified based on the failure of markets to
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achieve social efficiency in forest allocation and production (Loomis, 1993). Bolivia and Peru are typical examples where all natural forests, according to their constitutions, belong to the state (see box 3.5). In contrast, in Brazil natural production forests are basically private. Currently, the adoption of a forest concession model in Brazil has been defended as way to facilitate access to the resource by the private sector. Defenders of the process have two explicit arguments: i. The private sector is largely composed of small- and medium-sized companies, under-capitalized, with limited capacity to invest and maintain sufficient land forest land areas as required to implement SFM; ii. Implementation of SFM in private areas would concentrate private land ownership, and this would create a potential risk of increased social conflicts. Box 3.5. Forest concession in Peru The Old Peruvian Forest Law (1975), which was in place until the approval of the new Forest Law in 2000, established a forest classification called Freely Available Forests (Bosques de Libre Disponibilidad) which covered the forest areas assigned for industrial exploitation. Concessions of up to 100,000 ha for up to 10 years were given in these areas based on a feasibility study and technical proposal. In addition to the large-scale concessions, a modality for forest use for small-scale loggers was established through logging contracts for up to 1,000 ha which did not require any type of management plan or technical documentation. As a result of the availability of this second option, there have been no serious attempts to establish large-scale concessions based on proper inventories, management plans and technical studies apart from donor supported projects. The modality of small-scale logging contracts, however, has been extensively used for wood procurement to the detriment of the forest estate. Timber harvesting based on the small-scale logging contracts has evolved into a well organized system involving hundreds of small-scale loggers financed by industrialists or individual middlemen (socalled “habilitadores”), specialized in financing and facilitating the activities of resource strapped small-scale forest operators. This system combined with the weak capacity of the public forest authorities for control and supervision has resulted in an almost total lack of control on timber harvesting. Other consequences have been non-existent investment in forest regeneration and management and widespread use of the transport licenses and other documentation related to the logging contracts to legalise illegally harvested timber from other areas. In addition, this system has made the small-scale loggers financially dependent on the middlemen who provide the financing, and has separated the industry from forest management and wood procurement operations. It has also created strong vested interests at the local, regional and national level opposing any changes in the forest management regime. The disorderly situation in the forest sector and the lack of clear and enforceable rules of conduct has led to a lack of confidence in the forest industry, low levels of investment in forest industry development and a general perception of the sector as being one dominated by informality and illegality. The implementation of the new forest policies and legislation will need concerted efforts to revert this image and restore the reputation of the sector. Source: Achieving the ITTO objective 2000 and sustainable forest management in Peru (ITTO, 2003)
These arguments are no doubt valid, and the combination of the two models, having private and government land under SFM might be, in the case of Brazil, a better solution than the existing system. The model to be considered is a constant part of the agenda in discussions between government and the private sector in most Latin America-Caribbean countries. It is also generally a point of disagreement. In the end, it really does not matter if forests are privately or publicly owned. The crucial problem relates to how SFM is going to be implemented, especially considering that as the concept of sustainability develops the requirements for SFM (and thus costs) increase, and how the country and its population will benefit from the forest resources. c. Private Sector Adopting SFM There is no doubt that the private sector is the main investor in SFM in the Latin America-Caribbean region, but governments have a role to play in attracting more private funds to further improve forest practices. it has been recognized that availability of domestic public funds especially in developing countries, even when combined with resources made available by international cooperation, have not been sufficient to help the private sector to implement SFM.
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In fact, traditionally, capital flow from the public and private sector is direct mostly at monoculture plantations and is concentrated in a few countries of the region. The financial resources needed to ensure SFM in tropical natural forest, particularly in the less developed countries, are quite limited. There are several alternatives to be explored and tested to encourage the adoption of SFM by the private sector in the Latin America-Caribbean region. In a first stage, incentives could be used as a catalyst for the adoption of SFM. A second stage could consider incentives for the enhancement of performance, and finally, mechanisms to sustain the process should be considered. Furthermore, it is important to take into account some lessons learnt from programs developed and implemented to support the expansion of forest plantations, which are largely employed in the Latin America-Caribbean region (Tomaselli, 2001). Aspects related to incentives and financial mechanisms for SFM are treated in more details in Section 3.8 of this report. c. Constrains to Private Sector Adopt SFM According to Tomaselli (2001), governments and private sector have agreed on several standards to implement SFM that are gradually upgraded. It seems that most governments, during international dialogues, have underestimated the needs for new and additional funds to implement SFM. Partially this is a result of lack of participation of private sector in international fora. In reality, trapped by the process, governments are now inclined to: i. Leave the task of finding new and additional funds to finance SFM to the private sector; ii. Increase regulations and the monitoring/control structure and bureaucracy, thus creating more costs; iii. Search for new revenues to cover sectorial fiscal deficits due to misdirection of funds and increasing bureaucracy. iv. So in fact, besides finding ways to identify new and additional costs for implementing SFM in natural forests, the private sector is now also being requested to support growing government expenses resulting from excessive regulation and the growing size of the State (see Section 3.7). In conclusion, the private sector in the Latin America-Caribbean region is paying for two bills: new and additional costs for the adoption of SFM and to cover the growing government expenses. As the private sector is not willing (or has no means) to pay the full bill, the result is less money to implement SFM and growing informality (illegal logging). Within this context, to cover government expenses will always be a priority, and more money is now flowing to maintaining the overlapping structure governments. Funds needed for control and monitoring is growing and less money has been applied in the implementation of SFM at field level. Moreover, it is important to point out that there are other indirect emerging costs impacting on SFM and it need to be covered. Among them, it is worth mentioning the cost of forest certification. The primary reason for forest certification, as stated by certification promoters, is to create a credible system that could assure the market that forest products made available to consumers were produced under sound forest management practices, in conformity with internationally agreed criteria. In practice, governments should be doing that, as: i. The governments have discussed and agreed at international fora criteria and indicators (C&I) for the measurement of progress towards SFM; ii. The principles of sustainability have been incorporated into the legislation of most countries; iii. National institutions have been restructured and strengthened, and other actions have been taken to enforce law, improve monitoring, and control. It would be expected that the government, taking into consideration the existing legislation, has authorized forest products traded in the market. As governments have put in place an institutional framework compatible with internationally agreed principles of sustainability, including internationally agreed C&I, products traded in the market duly authorized by governments should be considered as certified products.
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The reason for requiring an additional certificate of origin is said to be a result of lack of credibility of governments and failures in the official control and monitoring system. The result is in fact another overlap of functions, and in the end more cost. Certification costs are high, and are directly paid by the private sector, which in fact already pay taxes to governments. Therefore, the private sector is in principle charged twice for the same work. Furthermore, the incorporation of new concepts will in the near future further increase the costs of certification (Tomaselli, 2001). There is no premium for certified wood products, but it is becoming necessary to ensure market access, and for the private sector market access is of crucial importance. Pressure groups have been able to use certification to create market impediments, and this is helping forest certification gain space in South America and in other parts of the world. As previously mentioned (see Section 2.4), the latest developments in certification of tropical forest in the Latin America-Caribbean region has occurred in Bolivia and Brazil. In Bolivia, for instance, forest certification has been basically promoted by international cooperation partners that have provided technical assistance and also, in some cases, have covered part of the costs for forest certification. There was a strong expectation that forest certification would help to overcome the forest sector crisis in Bolivia, but this apparently have not happened. No price premiums have been paid, and other decisive market factors have not changed with forest certification. Price, product quality, delivery time, and preference for traditional species continue to be the main market selection factors. 3.7
Forest Policy and Legislation for SFM
a. National Forest Policy In the United Nations Conference on Environment and Development (UNCED), Rio de Janeiro, 1992, emphasis was placed on one of the major challenges faced by mankind: the conservation and sustainable use of forest ecosystems. Many governments throughout the world have undertaken actions to orient their national forest policies towards the conservation and sustainable management of their forest resources. Most countries of Latin America-Caribbean region have formulated policies, explicitly or implicitly in their legislation, which show concern maintaining forest resources. In this respect, it must be noted that many countries do not have fully developed forest policies and legislation (FAO, 2001). Measures forbidding or limiting conversion of forest land, incentives for forestation and natural forest management, the creation and maintenance of large protected wild areas, the promulgation of various legal standards aimed at protecting or regulating the use of resources, strengthening protection programmes against fires, studies on sustainable management indicators and forest certification, and the formulation of national forest programmes, among others, are nearly the common denominator in the forest policy of most of the countries of the Latin America-Caribbean region. Another important element of forest policies in the Latin America-Caribbean region is the increasing incorporation of multiple groups of interest in their formulation, including non-governmental institutions, ethnic groups, rural communities, ecologist groups, international organizations, and others. This evolution has come about as a response to the growing interest of society in forests and use of natural resources and in all the environmental benefits associated with them. As a result, subjects such as payment for environmental services, carbon sequestration and others, which transcend the sphere of the traditional actors of the forestry sector by far, are becoming increasingly important. Interesting advances may be appreciated in the Latin America-Caribbean region. Brazil launched the National Forest Programme, which have been carried out by the Ministry of Environment. It constitutes the institutional framework for the incorporation of the principles and norms of SFM. The National Forest Programme also considers the implementation of SFM criteria and indicators, the reversion of deforestation processes and the new Forest Code. Moreover, Brazil recently promulgated a Law on Environmental Crimes, which establishes penalties for all damages to nature; it establishes obligatory forest replacement and creates a National System of Conservation Units. In Bolivia, a new Forest Law was approved in 1996. The 1996 forest law establishes that natural forest concessions can be made available to the private sector by an open bidding process under certain agreed
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conditions. The law also establishes other forms of access to forest resources, the so-called ASL (Agrupación Social de Lugar) and TCO (Tierra Comunitaria de Origen). This others forms of concession were specially developed to accommodate local communities (ASL) and indigenous populations (TCO) interests. Forest concessions are obligated to operate based on SFM practices. More recently, Bolivia institutionalized the National Protected Area System in 1999, created in 1992 by the General Environment Law, putting into operation the National Protected Area Service within the Ministry of Sustainable Development and planning. Although Peru has no formal forest policy statement, the new forest legislation (Ley Forestal y de Fauna Silvestre and Reglamento de la Ley Forestal y de Fauna Silvestre) has been developed and adopted recently which implicity describe the forest policy of the country (ITTO, 2003). Parallel to the forest legislation, a National Forest Strategy has been formulated in Peru. The National Forest Strategy presents a historic analysis/baseline for the forest sector, defines a vision and strategic principles, strategic objectives, results, and programmes for the development of the sector, as well as indicators for their monitoring. The document has been widely discussed in a participation process. The process has been supported by FAO through a project financed by the Netherlands. However, Peruvian government has not formally adopted the National Forest Strategy (ITTO, 2003). In Colombia, the formulation of the National Forest Development plan was completed in the year 2000 and the Forest Policy promulgated in 1996 has been consolidated. Ecuador proposes as fundamental objectives of its forest policy, to stop the process of loss of natural forests, recover deforested forest land and ensure the participation of rural, indigenous, and colored populations in forest management. In 1999, forest management was incorporated in environmental management, and the Ministry of Environment and the Ecuadorian Forestry and Natural and Wildlife Area Institute were merged, giving the forestry sector a new dimension. Complementing the forgoing a Forest Programme (PROFOR) was formulated as a natural evolution of the Plan on Forest Action of Ecuador. Guyana is in a similar situation, the National Forest Policy has been applied since 1977. Nevertheless, Guyana’s National Forest Policy was reformulated recently. It was developed in an open and transparent way with extensive consultation with a wide range of stakeholders. It is unusual in that it is accepted by all stakeholders as a sound guide for the forest sector as a whole. The National Forest Policy framework laid down is both comprehensive and sensible although it is predicated on mutually supportive approaches by government and industry which, to date, have not developed at the level required (ITTO, 2003). In Venezuela, the Constitution of the Republic was promulgated in 1990, State assumes the commitment of protecting the environment, biologic and genetic diversity, ecologic processes and areas of special ecologic importance. In that same year, a process was initiated for the formulation of the Organic Environmental Code. This Draft Law is intended to compile in one legal body all existing environmental-forest standards. It is also planned to establish a high level committee for the participative formulation of the National Forest Policy. The National Forest Policy in Suriname has been adopted by the Council of Ministries in July 2003. It is a balanced policy and conducive for achieving SFM. In the view of two major stakeholder groups, the policy is yet not concrete enough and may leave too much room for manoeuvring. The government has identified priority actions to set the required change process in motion. However, many constraints have to be overcome to effectively realize these objectives (ITTO, 2003). The policies of all the countries of the Latin America-Caribbean region reflect concern regarding conservation and sustainable management. Panama, for instance, recently created the National Environment Authority whose main function will be the formulation of environmental policies, and Honduras had to postpone forest policy measures that had been reformulated for the 1998–2000 period, due to the damages caused by recent hurricanes, which made it necessary to change priorities. A proposal for a sole Forest Law was prepared in 1999, to avoid dispersion of the legal framework, which is being revised and is expected to be approved by Congress soon. In fact, most Caribbean countries are in the process of either formulating or revising their National Forestry Programmes. Considerable concern is noted regarding the loss of natural forests, protected wild areas, forest fires, forest cadastres or inventories and restructuring of forest institutions, in order to upgrade the forestry sector to a level of national priority.
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b. Subjects Emerging above the Discussion on SFM The present concerns of forest agencies, non-governmental organizations, forestry professionals and other groups of interest in the Latin America-Caribbean region aim at decreasing the loss of natural forests, incrementing forest plantations, sustainable management of natural formations and forest plantations, consolidation of protected area systems, generation of increased production from forests including all their benefits and greater participation of society in the field of forestry. These concerns are reflected in policies, legislation and institutional restructuring, the formulation of national forest plans and programmes, the participation of most of the countries in processes on SFM criteria and indicators and in the maintenance of large protected areas. Both international discussion on forests as well as processes on criteria and indicators for SFM, have been included, although gradually, in discussions on forestry in the countries of the Latin America-Caribbean region. Ecuador, which proposes the payment of environmental services for SFM, established a Forest Management System, in which control and technical assistance activities are transferred from the State to independent professional foresters, endorsed by the Ministry of Environment. Complementarily, it is proposed to create regional instances to decentralize the activities of the forest authority and increase the participation of society. A similar situation exists in Venezuela, where it is considered desirable to develop experiences on Community Forest Management, initiating a process for granting the use and usufruct of occupied Forest Reserves, as long as the forest cover and their condition as reserves are maintained. In other words, SFM is proposed to the benefit of the communities occupying them. A subject that has been reviewed in different countries is that of forest grants. While some countries are open to this type of public forest utilization in order to increment forest areas under management and allow the participation of the private sector, as in the case of Bolivia, Brazil, Guatemala, Guyana and Venezuela; others, such as Ecuador, eliminated the system of grants, because they believe that they do not ensure SFM adoption. c. Strategies or Mechanisms to Promote the Forest Policy One of the great problems encountered by the countries of the Latin America-Caribbean region, is the difficulty to put their forest policies into practice. Efforts have been made in the last few years to close this gap by seeking support through an increased participation of society in the processes generating forest and environmental policies, especially of the people living in the forest. Some Latin America-Caribbean countries are making efforts to create adequate legal and economic conditions to achieve the objectives of their policies. For this purpose most of the countries are reviewing their National Forest Programmes, restructuring their institutionality and using different legal and financial instruments to enable them to place larger forest areas under sustainable management and production, ensure protected area systems, put a stop to deforestation, increment planted forest areas and recover deforested areas. The strategies are based on general standards, promotion and incentive systems, and specific projects. Brazil recently created a National Forest Programme, which constitutes an institutional framework for the incorporation of the sustainable management principles and standards, whose main objective is to consolidate a national forest policy with three priority programmes: i. Expansion of the forest base (FLORESTAR), aimed at enlarging the planted area with emphasis on degraded areas and the expansion of public forests under management and production; ii. Sustainable forests (SUSTENTAR), aimed at the promotion of sustainable management of natural forests, an action of special importance for the Amazon Region which concentrates the major areas, and which is intended to conciliate, commercial interest with conservation needs. This involves the assignment of grants in public production forests; iii. Decrease deforestation (FLORESCER), is a programme aimed at strengthening the prevention and control of forest fires, decrease the conversion of land use and avoid illegal exploitation.
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Ecuador proposes its strategy for sustainable forest development based on the valuation of national forests and plantations, promotion and financing of sustainable management strengthening of participation and management by society, and modernization of the institution al and legal framework. Venezuela emphasizes the importance of the management plan and community forest management, and has designed a national plan for territorial management, and is preparing an Organic Environmental Code intended to prepare a résumé of all the forestry and environmental legislation in one legal body. Although many countries in the Latin America-Caribbean region have established a National Forest Policy in order to promote SFM, the actions to promote and implement it are very modest. In fact, governments should prepare a correspondent plan for the implementation of the different issues provided by the National Forest Policy. d.
Forest Legislation Promulgated or Being Processed Most of the countries are making efforts to modernize legislation, bringing all norms into single legal bodies, to adjust their institutional structures and, in general, provide an adequate and stable legal and economic framework that will make it possible to achieve the objectives of their policies. Brazil has promulgated, or is processing, a number of norms related with limitations on felling, conversion of land use, prevention of forest fires and other aspects, but possibly the most relevant are Law N° 9.605 of 1998, on Environmental Crimes, which penalizes environmental damages and Law Decree N° 3.420, of April, 2000, which creates the National Forest Programme. In Ecuador, a Draft Law for Sustainable Forest Development is being processed and includes promotional mechanisms, penalties for the destruction of natural forests and other important aspects to achieve policy objectives. The most important legal instrument related to SFM in Suriname is the Forest Management Act that entered into force in 1992. It contains for a great deal regulatory elements for the issue and control of concessions. The Government has the intention to revise the existing law with a view to further improve coherence with the legislation and to promote sustainable forest use and conservation. A coalition within the private sector, so-called Platform Houtsector Suriname, has published proposals for revising the Forest Management Act. In case of Panama, in 1994 a new Forest Law was approved, with which forest management was institutionalized, besides establishing a legal mark oriented to the forest development. Later, in 1998, an Environmental Law was approved, which establishes a regulatory mark that introduces elements of territorial and environmental management ordenation and natural resources. In Venezuela, in accordance with its Constitution, the State assumes responsibility for the environment, biodiversity and ecology, and an Organic Environmental Code is being prepared for the purpose of preparing a resume of all environmental and forest norms in one legal body. In Guyana, the Forest Commission developed a new Forest Act during the late 90’s with technical assistance from UK DFID, but it had not enacted by Parliament. The Forest Act provides the control basis of the State Forest, for assistance to hinterland communities and the sound management of forest on Amerindian Land through the provision of advisory services (ITTO, 2003). In recent years, other countries of the region have also developed several legal instruments to further regulate forestry activities and promote the SFM. As previously mentioned, Bolivia adopted a new Forestry Law (1996), which is based on forest concessions and SFM practices are a legal requirement. Recently, Peru promulgated a new Forest Law in 2000 and their regulatory mechanisms. The new forest regulation (Forest and Wild Fauna Law, 2000 and Regulation of Forest and Wild Fauna Law, 2001) defines the overall normative framework for the forest sector, including the institutional elements for the forest sector governance. This constitutes the main forest policy document in Peru. Its legitimacy is enhanced by the broad participatory process, involving extensive consultations with different stakeholder groups at local and national level that was used in its formulation over a ten-year period. The process was supported by a variety of national and international NGOs and donors, including ITTO (ITTO, 2003).
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e. International Agreements and National Policies Linkages Most of the countries of the Latin America-Caribbean region have participated in the international discussions on forests and have played an active role in the development of Criteria and Indicators for SFM, which arose after Rio 1992. Brazil emphasizes that forest management is framed within its national sovereignty and that the problem of deforestation affects not only tropical humid forests but also every type of forest. Based on this, Brazil supported at 1992 Rio de Janeiro meeting, the Declaration of Principles on Sustainable Management for Every Type of Forest and the Agenda 21. In the United Nations Commission on Sustainable Development, Brazil proposed the creation of the Intergovernmental Panel on Forests (IPF) and this to some extend inhibited a premature initiation of negotiations for an International Convention on Forests and eased international pressure on the Amazon forests. The country continues to play a vital role in the discussions now under the UNFF (United Nations Forum on Forests). Brazil led the creation of the Tarapoto Process, within the scope of the Amazon Cooperation Treaty, in which the criteria and principles for sustainable management of the Amazon forests were discussed and defined. Besides, Brazil has been an active member of the International Tropical Timber Organization (ITTO). Also important is the consolidation and institutionalization of the Directives for Sustainable Development of the Brazilian Tropical Forests, defined following the studies supported by the National Environment Programme and by the Green Protocol. The latter requires environmental evaluations for any project needing financial resources from credit institutions. Ecuador, as a member country of the International Tropical Timber Organization (ITTO), has promised to establish the guidelines and strategies for SFM, promulgated legislation in this respect and acquired a firm and continuous political commitment at the highest level to achieve this in the country (ITTO Principle 1). Furthermore, the Ministry of Environment has incorporated the ITTO principles and directives in the national strategy, through a wildly participative process of the national community, and the Law for Sustainable Forest Development is being prepared and harmonizes with other laws governing the other sectors of the economy, complying with Principle 2 of the ITTO. The participative process for the formulation of the strategy and of the Law, represents a democratic mechanism for the formulation of policies (Principle 3 of the ITTO). The proposals for action agreed to by the countries in the Intergovernmental Panel on Forests (IPF) and the Intergovernmental Forum on Forests (IFF), have been incorporated in Ecuador’s policy, in the sense of creating a political, legal and institutional framework aimed at sustainable development, strengthening the participation of indigenous rural and settlers communities, detaining the deforestation process, promoting forestation and applying innovating mechanisms to finance forest development. Guyana has participated in the development of sustainable management criteria for the Amazon forests in the framework of the Amazon Cooperation Treaty. These criteria and indicators, together with those produced by the International Forest Research Centre (IFRC) and by the ITTO have been reviewed by the Forest Commission of Guyana and incorporated in the National Forest Plan. 3.8 Incentives and Financing Mechanisms for SFM For some countries in the Latin America-Caribbean region, for instance Brazil, Honduras, Panama, among others, the incentives and financing mechanisms for the establishment of forest plantations is practically a solved problem. Incentives made available by governments have played an important role and catalyzed the process. The flow of private capital into forest plantations is expected to increase in the future, and the National Development Bank (BNDES) has credit lines available to support the expansion of plantations. By contrast, there are no incentives and financing mechanisms available in the Latin America-Caribbean region for natural forest management. In spite of having several problems that are and will continue to inhibit the private sector from investing in SFM in tropical forest, most of the financial resources flowing into SFM come at this moment from private resources. In fact, the private sector is already a major investor in SFM, but governments have a role to play in attracting more private funds to further improve forest practices. Some lessons can be learned from programs developed and implemented to support the expansion of forest plantations. Governments in the region have failed to put in place proper mechanisms to make environment concerns
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and development policies compatible. Low managerial capability is the main problem, and this is not likely to be solved in the next few years. The solution requires coordination among all stakeholders, and this means governments, international cooperation, the private sector, and civil society. It has to be recognized that the private sector is already playing an important role in financing SFM, but can do more. The private sector needs to work towards continuous improvements in forest and industrial operations to gain productivity. There is no simple solution envisaged but the basic principle is clear: if the private sector has to increase its contribution to financing SFM, governments and other stakeholders need to create the necessary environment for investment. Investment is needed to improve performance and competitiveness in the market. The market is, at the end, the main source of funds to finance SFM. Incentives need to be developed to catalyze adoption and to enhance performance, but to sustain the process, other conditions need to be met. These other conditions include, among other things: appropriate, stable and transparent regulations, economic and political stability, guarantee of access to forest resources and to markets. 4.0
PROJECT FINDINGS
4.1
1st Stage Survey (Q500)
4.1.1 Activities Developed The project was started in February 2002, and since then many activities were developed by the regional consultant to achieve the targets defined for Stage 1. Stage 1 aimed to obtain 150 completed Q500 questionnaires in the ITTO’s producer member countries of the Latin America-Caribbean region. The following main activities were implemented by the consultant as part of the first stage: i. Review and translation of the Q500 questionnaire from English into Portuguese and Spanish (see Annex II); ii. Preparation of a data base covering companies to be contacted in each of the ITTO’s producer member countries of the Latin America-Caribbean region; iii. Preparation of material (letter, notes and others) and dispatch of the Q500 questionnaire by different forms (mail, e-mail, fax and hand delivered) to the companies in the aforementioned data base; iv. Distribution of the Q500 questionnaires. This activity was carried out by the regional consultant, and, in some cases, was supported by different producers associations, as for example: CFB (Bolivian Forest Chamber) in Bolivia, and SINDUSMAD (Timber Industry Association of Northern Mato Grosso) and ABIMCI (Brazilian Association for Mechanically Processed Timber) in Brazil; v. Control of the number of Q500 questionnaire sent, the number of returns (uncompleted), the number of Q500 questionnaire completed, and other aspects; vi. Clarification of doubts raised by some of the companies contacted; vii.Analysis of the completed questionnaires from the companies contacted; vii. Preparation and dispatch of a letter of gratitude, which was sent to the companies that have answered the Q500 questionnaire (or indicated that their operations where not within the scope of the project); ix. Preparation and dispatch of a “reminder” sent by e-mail and/or personal contact with the companies that did not answered the Q500 questionnaire. 4.1.2 Results Obtained The number of Q500 questionnaires sent to the ITTO’s producer member countries in the Latin AmericaCaribbean region is shown in the table 4.01. Also, in the same table, the different forms used to send out the questionnaires are presented, as well as the number of returned Q500’s (due to incomplete or incorrect addresses, change of address, etc).
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The majority of questionnaires were sent out during the period between 18th February and 22nd March 2002, being dispatched from Brazil. As can be observed, a total of 852 Q500 questionnaires were sent to companies in the ITTO’s producer member countries in the Latin America-Caribbean region. The highest level of company contacts occurred in Brazil (27%) and Peru (18%). These two countries are the main producers of tropical timber in Latin America-Caribbean. The main forms of contact used were mail and e-mail. Fax and hand delivery were used to a lesser extent, based on the limits of practicality when considering the large quantity of contacts conducted. In fact, these last two forms were only utilized when a complete mail address or e-mail were not available. It is important to note that in some cases the Q500 questionnaire was sent out to a company by more than one means, normally by mail and email. This justifies the fact that total number of correspondence sent is different from the total number of the companies surveyed. Table 4.1. Q500 sent to the ITTO’s producer member countries in Latin America-Caribbean TOTAL NUMBER OF COMPANIES CONTACTED
%
BRAZIL BOLIVIA COLOMBIA ECUADOR GUATEMALA GUYANA HONDURAS PANAMA PERU SURINAME TRINIDAD TOBAGO VENEZUELA
232 67 101 59 89 10 52 6 156 9 25 46
27 8 12 8 10 1 6 1 18 1 3 6
TOTAL
852
100
COUNTRY
RETURNS (1)
FORMAT EMAIL
MAIL
FAX
HAND DELIVERED
MAIL
EMAIL
169 44 24 48 31 4 16 4 63 9 3 6
105 49 100 34 69 8 49 3 119 -25 45
50 ------------
4 ------------
3 4 2 2 7 ---10 --4
7 10 6 8 8 1 6 2 27 3 0 1
421
606
50
4
32
79
(1)
Due to wrong or incomplete address
In total 852 Q500 questionnaires were dispatched, with 111 correspondences being returned due to wrong and/or incomplete address, reducing the number of companies effectively contacted to 741. Due to the low response level obtained to the initial dispatch of the Q500 questionnaire, the regional consultant decided to send out “reminders” (and another copy of the questionnaire), prioritizing those companies that had email. Contact by telephone was also made to a number of companies to remind them of the Q500 questionnaire and, where possible, to identify any possible reasons for the low response rate. Table 4.02 presents the number of Q500 questionnaire “reminders” sent to companies in the ITTO producer member countries in Latin America-Caribbean. The Q500 questionnaire “reminders” were sent/conducted during the period from 1st April until 12th April 2002, and a total of 334 “reminders” were sent. The number of “reminders” made to Brazilian companies predominates, again indicating the importance of Brazil as a tropical timber country producer in the region.
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Table 4.2. Q500 reminders sent to ITTO’s producer member countries in Latin America-Caribbean METHOHD TOTAL NUMBER OF COMPANIES CONTACTED
%
BRAZIL BOLIVIA COLOMBIA ECUADOR GUATEMALA GUYANA HONDURAS PANAMA PERU SURINAME TRINIDAD AND TOBAGO VENEZUELA
144 39 24 46 13 4 12 4 31 8 3 6
TOTAL
334
COUNTRY
EMAIL
TELEPHONE
43 12 7 14 4 1 4 1 9 2 1 2
83 39 24 46 13 4 12 4 31 8 3 6
157 -
100
273
157
With the exception of Brazil, all the Q500 questionnaire “reminders” were sent by e-mail. In the case of Brazil, the Q500 “reminders” were resent by e-mail and phone contact with over 144 companies was made. The total number of responses obtained to the Q500 questionnaire for each of the ITTO’s producer member countries in the Latin America-Caribbean region can be observed in table 4.03. Annex III presents a list with all the companies that responded the Q500 questionnaire. As observed, 69 responses to the Q500 were obtained. This represented 46% in relation to the number of questionnaires established as the quota for the Latin America-Caribbean region (quota=150), a relatively low response considering all efforts made. Table 4.3. Responses obtained to the Q500 by ITTO producer member countries in Latin America-Caribbean % IN RELATION TO THE
COUNTRY
NUMBER OF RESPONSES OBTAINED
RESPONSES OBTAINED
TOTAL Q500 SENT
BRAZIL BOLIVIA COLOMBIA ECUADOR GUATEMALA GUYANA HONDURAS PANAMA PERU SURINAME TRINIDAD AND TOBAGO VENEZUELA
40 7 5 6 1 1 2 2 3 2
58 10 7 9 1 1 3 3 4 3
17 10 5 10 1 10 4 33 2 4
TOTAL
69
100
8
The majority of Q500 responses were obtained in Brazil (40), following by Ecuador (6) and Bolivia (7). These three countries combined represent almost 77% of the responses obtained. An analysis of the total number of responses obtained in relation to the number of Q500 questionnaire sent out indicates a low response rate of around 8%. The best percentages were observed for Panama, Ecuador and Guyana. The high percentage seen for Panama is associated with the relatively small number of companies that were contacted in this country. Any responses were obtained from either Suriname or Trinidad and Tobago. Although this is disappointing, it is not a concern, as both countries are relatively small timber producer.
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4.1.3 Reluctance of Companies to Participate/Respond A preliminary analysis of the responses obtained indicated a reasonably high quality of responses. Practically 80% of the Q500 questionnaires answered were completed almost in totality, with the remaining 20% lacking responses to a number of questions within the questionnaire, but still sufficient to cover the project needs. It is important to mention that 05 other Q500 questionnaires were returned, but were not considered as they were outside the scope of the project. It was also observed that the many of companies that have responded to the Q500 questionnaire are companies that have large areas under concession and that their forest areas are certified or are in the process of certification. This may be an indication that these companies have great technical knowledge and experiences in relation to SFM and/or they may be concerned with environmental issues that could be associated with their activities/products, and believe that certification is a reasonable form of “marketing”. Contact made with companies, by e-mail and telephone, has allowed for the identification of reasons that may explain the low response rate seen for the Q500 questionnaire. Some reasons that are worth mentioning include: i. The reduced number of the companies active specially in the relatively small countries such as Trinidad and Tobago, Panama, Suriname, Guatemala, Honduras and Guyana; ii. The length of the questionnaire (6 pages), and in particular the number of questions listed; iii. Difficulty was experienced by a number of respondents when attempting to complete the questionnaire in electronic format (Excel) due to problems in accessing the data fields; iv. Absence of technical personnel with capacity to answer the questionnaire in-house. Depending on the size of company, technical personnel are contracted to prepare management plans and to attend legal requirements and are not present day to day at the company. This situation is very common in Brazil; v. Some companies do not have management plans in place, which makes it difficult for the provision of some of the required information without undertaking detailed research of their production (especially of historic information); vi. Some companies were suspicious of inspection by the pertinent governmental/non-governmental bodies based on information contained within the survey; and vi. Lack of interest of the companies on to the subject. 4.1.4 Analysis of the Data According to the responds obtained by the Q500 questionnaire, the following comments can be made, over selected issues. Annex IV shows a graphic presentation of the survey results. a. Type of Companies In most countries of the Latin America-Caribbean region, forests are largely state-owned. Otherwise, since the early 1980s, the trend toward reducing the size of the public sector in favour of private ownership and management has recast the development strategies and policy assumptions of past decades. Privatization was widely seen as the main strategy to reduce government participation and control. Typical examples of state-owned companies which was closed or divested includes Demara Woods in Guyana, and Corfiro, Casisa, Fiafsa, Locomapa, Semsa and Promagua in Honduras. Additionally, the governments of Guyana and Honduras have disbanded the marketing boards for the export of wood products. The privatization trend of forest companies in the Latin America-Caribbean region is confirmed by the Q500 results, in which out the 69 companies inquired, 97% are private owned companies. Most of them are small and medium-sized enterprises. The remaining companies are joint ventures between government and private entrepreneurs. It was not identify any state-owned company. b. Integration of Activities According to the Q500 questionnaire results, in 91% of the companies the forest area (either private or concession) are integrated with industrial facilities. In that case, the major integrated timber industry is sawmill (64%), followed by veneer and plywood mill (13%). However, such data cannot be generalized for the entire Latin America-Caribbean region. Some particularities must be taken into account.
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This means that SFM of tropical forests in the Latin America-Caribbean region has been mainly practiced by timber companies that have a vertical integration (forest + industry + trade). Nevertheless, in most cases, the importance of vertical and horizontal integration in timber business strategies is negligible. In fact, the majority of timber companies in the Latin America-Caribbean region is non-integrated and it occurs because most of them are small-sized and low capitalized. Only large-sized timber companies have their own forest operations, therefore being responsible, characterizing to some extent a vertical integration. Their own forest area (either private or concession) is the main supply source to the correspondent industrial facilities. However, companies with industrial facilities that present high production level usually need additional source of raw material supply, besides their own log production. In Brazil, for instance, trade of logs between companies is a normal practice. In fact, it predominates in the Latin America-Caribbean region independent log producers, in their turn they are responsible for supplying small-sized mills, mainly sawmills, which are independent as well. It is worth noticing that only some large sawmill are horizontal integrated with plywood mills as well as further processing plants. c. Forest Management In most Latin American/Caribbean countries, the forest management plan has become a legal requirement along last decade. Such fact has significantly contributed to improve its level of adoption by forest companies in the region. On the other hand, it is important to note that currently forest management plans are faced by most timber producer in the Latin America-Caribbean region as just a legal requirement and so as an important tool for management planning. The surveyed companies advanced in terms of forest management planning, with 94% of them have a forest management plan. Nevertheless, only 54% of the forest management plans are consistent with the ITTO guidelines for the “Sustainable Management of Natural Tropical Forests” and “Conservation of Biological Diversity in Tropical Production Forests”. It is important to mention that 41% of companies surveyed had no knowledge on ITTO Guidelines. Generally the companies’ forest management plans have presented a significant advance, particularly in operational planning, which have started to consider in more details the actions and activities needed to be developed, including forest inventories, harvesting and silvicultural treatment schedules. According to the Q500 questionnaire results, the main management system practiced by the companies’ is “selection”, with 65%, followed by “shelterwood” (42%), “clear felling” (12%), and “ad-hoc” (9%). Regarding to silviculture, most of the companies (59%) are currently conducting the post-harvest regeneration survey. The regeneration systems practiced are “natural regeneration” (77%), “replanting” (25%) and “enrichment planting” (20%). In case of silvicultural treatments, predominate “climber cutting” (52%), followed by “cleaning” (38%), and “tree girdling” (13%). d. Logging Before the adoption of SFM by forest companies in the Latin America-Caribbean region, the harvesting system employed consisted on the so-called “traditional”, where the activities of road construction, skid trails, logging, logs skidding, and woodyard operations were all made randomly and without previous planning. Mitigation of damages to the forest was not on issue. Since adoption of forest management plans, planned logging has been adopted. Usually, logging system employed involves a 100% inventory of trees, a planned infrastructure based on satellite images, and a careful harvesting and off-road transportation operations. Taking into account Q500 questionnaire results, most companies operating in the Latin AmericaCaribbean region is logging based on harvesting plans (83%). The only harvesting system practiced is “tractor skidding”. More advanced harvesting systems, as for example high lead yarding and skyline yarding, have not been used by forest companies in the Latin America-Caribbean region. The reason seems to be associated to the large proportion of flat terrain. It is important to evidence that most forest companies that employ harvesting plans are using RIL practices.
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e. Biodiversity Conservation It is widely known that tropical forest of Latin America-Caribbean region is exceptionally rich in biodiversity. The region contributes with 40% of the plant and animal species of the planet, and it is considered to have the highest floristic diversity in the world (Heywood, 1995). The main issue has been how to avoid habitat destruction and the consequent extinction of species, many of which are not yet described by science. The deforestation and forest degradation have reduced the populations of many species. In the Latin America-Caribbean region there are 381 endangered animal species (UNEP, 2001). According to the Q500 questionnaire results, 43% of the companies surveyed have endangered species in their forest areas. Furthermore, in 87% of the companies, shooting and hunting are not allowed, which somehow contributes with the preservation of the endangered species. As a way to revert or, at least, minimize this situation, the amount of land under some form of conservation and protection is continuing to rise in the Latin America-Caribbean region, with almost 7% of the region’s land under categories of strict protection. In part, this is confirmed by the Q500 questionnaire results, which point out that 70% of the companies surveyed have areas reserved for conservation or protection. However, many types of forests are still under-represented or not represented in protected areas (Dinerstein, 1995). Moreover, many protected areas, despite their declared legal states, are only protected on paper, and lack any real means of preventing degradation. f. NWFP Utilization The development of non-wood forest products (NWFP) in the Latin America-Caribbean region has experienced a number of obstacles starting with the lack of awareness of its development potential. According to the Q500 questionnaire results, there are few companies producing NWFP in the Latin America-Caribbean region. Only 20% of the surveyed companies produce NWFP, predominating medicinal, fruits and nuts. Although less important than timber, NWFP still has an important share of the forest product market in some countries, as the case of Bolivia. Around 33% of Bolivian’ forest products exports is based on Brazilian nuts. Palm heart has also stand out during the last few years. Currently, palm heart account for 4% of Bolivian’ forest products exports. Brazil can be another example of commercial NWFP extraction. The rubber boom in the early 20th century led to the establishment of large cities such as Manaus and Belém in Brazil’s North region. More recently, rubber has declined, but oils, natural insecticides, fruits (açai and cupuaçu), palm hearts and Brazilian nuts are examples of products that have developed significant domestic markets and are, in some cases, exported. Despite some initiatives, there is little experience in the region with management of NWFP or with integrated management of forests for timber and NWFP. For some species subject to high extraction pressure, governments have set up regulations to reduce the ecological impact. However, most harvesting is done opportunistically and often in a predatory manner. The result is that wild populations of various species are threatened by overexploitation and habitat destruction. g. Forest Services Recreation and Ecotourism Forests’ environmental services, e.g. biodiversity and landscape beauty, are another significant benefit from forest protection. The value of environmental services is hard to calculate. According to the Q500 questionnaire responses, most of the surveyed companies (64%) provide some type of forest services. The greater forest services provide by the companies are conservation, protection, education and wildlife refuge. Smaller importance is given, for instance, to recreation, and carbon sequestration. Latin America-Caribbean forests have a good potential for tourism and recreation. The tourism industry has grown steadily during the past decades in the region. Ecotourism and recreation allow combination of the potential of the forest resources and demand for tourism and recreation. These activities can also be a source to finance nature reserves and other protected area management, but so far has not been fully explored.
431
The Brazilian Government is exploring prospects for marketing forests’ environmental services to encourage conservation. One option under consideration is to promote bio-prospecting as an alternative forest use. In most cases, however, forest conservation continues to be achieved through regulations and the establishment of protected areas. In fact, there are some few initiatives undergoing, and this has not been reflected in the Q500 questionnaire results. g. Social Aspects Social conditions are critical in most Latin America-Caribbean forest regions. The forest private sector has been performing an important role in the improvement of the quality of life of its employees and, consequently, of the community in which it is located. This was reflected in Q500 questionnaire. Most surveyed forest companies provide some kind of welfare facilities to its employees as well as to the community involved. The most common benefit is housing with 70%. In second place comes healthcare 62%, followed by water (49%), electricity (43%), and education (28%). h. Wood Products Traditionally, sawnwood is the main processed wood product based on tropical log manufactured in the Latin America-Caribbean region. This was confirmed through the Q500 questionnaire results. More than half surveyed companies (56%) produce sawnwood. Plywood is also an important product manufactured in the region (31%). Few modern sawmills and plywood mills exist in the Latin America-Caribbean region. The technology applied is generally old, predominating intensive use of labour. The machinery age average is of more than 20 years. One of the main reasons for low investments in machines and equipment in the wood industry and associated lack of efficiency is the low cost of raw material (log). The low cost of labour also corroborates. In spite of the broad interest, only 23% of surveyed companies are producing secondary wood products. Such initiatives are mainly oriented to products as flooring, moulding, and furniture. i. Security and Law Enforcement Governments of the Latin America-Caribbean countries have taken actions against illegal logging. Although there still are chronic problems in relation to illegal operations, improvements have been reached along the last years. Concerning the answers of the Q500 questionnaire, 81% of the companies were not involved in court cases involving forest law violation in the last few years. This is result of the intense engagement of these companies in relation to the compliance with the forest law in force in their country and, consequently, the adoption of mechanisms aimed at SFM. j. Research and Development (R&D) The progress towards SFM requires an enormous effort in the field of scientific research, especially if complex forest ecosystems in the region are taken into consideration. The Q500 indicates that there is a needed to improve R&D and that the private sector has been to some extend covered the voids left by public forest research institutions. From the companies inquired, 51% undertake some kind of R&D activity. International cooperation has been playing an important role in the region’s forest research. It is recognized that without the cooperation of developed countries and international institutions, progress in SFM of tropical forests would be very slow and distant. This becomes clear, when analyzing research data, since 57% of the R&D projects undertaken by the companies have external funding. ITTO projects are one example of external support. k. Certification Notwithstanding the progress made in relation to forest certification in the Latin America-Caribbean region, there still is a long way to go. From all companies inquired through Q500 questionnaire, only 19% have a certified forest, while 78% do not possess any kind of certification.
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The results of the surveys points out that there are signs of improvement in this scenario. Around, 62% of the non-certified forest companies inquired intend to undertake forest certification in the near future. 4.2
2nd Stage (Q20) Case Analysis
4.2.1 Activities Developed The Stage 2 of the project was effectively started in October 2002. Many activities were developed by the regional consultant to achieve the targets defined for Stage 2, including: i. Selection of Q20 companies based on criteria for eligibility established by Project Technical Committee; ii. Preparation of estimating budget for visiting Q20 companies in Latin America-Caribbean region; iii. Review and translation of the Q20 questionnaire from English into Portuguese and Spanish (see Annex V); iv. Preparation of accompanying material (letter and other information) and dispatch of the Q20 by different forms (mail and email) to the selected companies; vi. Visiting of Q20 companies; vii.Preparation and dispatch of a letter of gratitude, which has been sent to the Q20 companies visited. 4.2.2 Selected Companies A total of 09 companies were selected to Stage 2 (Q20 questionnaire). The majority of Q20 companies are located in Brazil (04), following by Bolivia (03), Colombia (01) and Ecuador (01). The location of selected companies to field work is presented in figure 4.1.
Figure 4.1. Selected companies for stage 2 – Q20 questionnaire
4.2.3 Results Obtained Analysis of the data collected through Q20 questionnaire indicated a high quality of responses. The Q20 questionnaires were mostly completed by the regional consultant in cooperation with representatives of the selected companies visited. Practically all Q20 questionnaire answered were completed almost entirely. All selected companies were interested in cooperating with the project and also in being considered as a case study. The selection procedure for the case studies was based on Q20 criteria for selection. Each company was examined through several steps of an elimination process comprising different sets of criteria. The steps are as follows: i) eligibility; ii) sustainability/certification; iii) stratification, and iv) final adjustment, according to the established by the Project Technical Committee. The case studies selected included at least one example with the following criteria: i) small/medium-sized concession, and ii) plantation forest.
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In fact, the case studies selection was based on those companies that are successful on the implementation of sustainable management, in terms of financial, market and environmental results. Based on the criteria mentioned above, the following companies were selected as case studies: i. ii. iii. iv.
Empresa Agroindustrial LA CHONTA Ltda; GUAVIRÁ Industrial e Agroflorestal Ltda; ORSA Florestal S.A.; CIKEL Brasil Verde S.A.
4.3 3rd Stage – Case Studies In this section, a brief account of the cases is presented. 4.3.1 La Chonta La Chonta is a Bolivian private-owned company. The company manages 220,000 ha of tropical forests, distributed in two concessions (government forest land) located in the Guarayos and Bajo Paragua regions, central western part of Bolivia. The company employs 350 persons and its total annual revenue is around USD 4 million. After 1997, taking into consideration the new Bolivian Forest Law, the company decided to embark in a new approach and the forest concession began to be managed in a sustainable way. Nowadays, both La Chonta forest concessions are certified by FSC. To improve forest practices and adopt SFM, La Chonta had to increase the number of tree-species harvested, and thus was unable to harvest higher volumes per unit area. In the past the company was based on a few valuable species and removals were normally less than 1 m3/ha. This was only possible due to the high market price of the so-called valuable species (mahogany, for example). With the adoption of improved forest practices the increase on harvesting volumes became quite important, not only to mitigate the pressure over the precious wood species, but also to make it possible to internalize the new and additional costs resulting from the adoption of improved forest practices. At moment the company is harvesting between 3 and 8 m3/ha. This is still a relatively small volume when compared with operations held in other countries of the region, as for instance in Brazil. No doubt that the increase in the volume removed reduced the harvesting costs, but it created another problem: many of the new harvested wood species are not known in the international market, and when accepted have a low market value. La Chonta faced difficult times, since in many cases the costs of production, mainly due to logistics that leads to high transportation costs to the main consuming markets, is a strong limitation for timbers with no tradition in the market (LKS). The domestic market could be, in principle an alternative, but as expected it is too small to absorb the volumes. La Chonta has two sawmills, both located close to forest concessions (La Chonta and Lago Rey). Part of the production is traded in bulk, while better grades are reprocessed into value-added products. The production capacity of the re-manufacturing facility is around 2,000 m3/year of finished products (door, moulding and flooring). Annually, about 20,000 doors are produced. The chain of custody is also certified by FSC. Wood processing activities were strongly affected when SFM was adopted. The knowledge gained in processing traditional wood species, as for example mara (mahogany), roble and cedro, was no longer valid when LKS entered into production. The high commercial value of these species, traditionally traded, and widely accepted by the market, contributed to the low efficiency in the value chain. With the adoption of SFM and the introduction of LKS, several actions were needed to improve efficiency of the mill, and this included several investments to develop new processes and products, and also investments in the processing facilities. The lesson learnt by La Chonta points out that introducing LKS is fundamental when adopting SFM. Processing LKS requires an increase in the scale of production (starting at the forest) and the adoption of improved processing technologies in order to reduce production costs and increase product values.
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It was also learnt that LKS have a lower market value, well below traditional wood species, and are very unlikely to have price increases along the years. Thus, without cost reduction and addition of value it is not possible to have a profitable operation, which is necessary to improve forest practices. Moreover, the lessons learnt by La Chonta operating in Bolivia indicate that an adequate policy and legal framework, and particularly law enforcement, plays an important role in the promotion of SFM. However, the private sector in Bolivia ended up paying for the full costs of SFM adoption, since the Government has no economic instrument or other mechanism that would effectively encourage the adoption of SFM. There was hope to recover the additional costs from the market, but no price premium is paid for sustainable produced timber, even when certified. The changes require more than good will. New investments in whole value chain are needed. This has been a strong limitation for La Chonta, since in Bolivia financial sources for direct investments in the timber industry are quite limited and, when available, costs are too high. 4.3.2 Guavirá Guavirá Industrial e Agroflorestal Ltda. is a Brazilian private-owned company. The company is totally integrated, and cover forest operations and harvesting, manufacturing (primary and secondary processing facilities), and trading. The operations involve around 250 persons, and its annual turn over is approximately USD 7 million. Guavirá owns around 80 thousand ha of lands located in Mato Grosso State (private lands). Out of this total 58 thousand ha is covered by natural tropical forests managed for production. It is one the largest SFM plan of the State of Mato Grosso. The SFM plan prepared by Guavirá has been considered by the State authorities and also by the national forestry agency-IBAMA as a model to be followed. Although the company could purchase logs in the local market, currently all timber supply originates from their own forest land kept under SFM. The forest land owned by Guavirá is quite unique, with much lower variability than in other parts of the Amazon region. There are basically 24 that in principle are considered as commercial tree-species in GUAVIRÁ’s forests, but in view of the large concentration of species the decision was only to harvest half of the species available. Cedrinho (Erisma uncinatum) is the dominant tree-species and it is responsible for around 50% of the total timber removals. Depending on the location, cedrinho volume varies between 10 and 15 m3/ha (in reduced areas the volume can be higher). The remaining 50% of the volume harvested is represented by 10 other tree-species. It is an important competitive advantage for GUAVIRÁ to have a high volume concentration on a single tree-species (cedrinho) with broad market. Harvesting operations are quite efficient. The company harvesting and transportation operations are carried out all the year round, while in most operations in the Amazon region they last for no more than 68 months per year as a result of the rainy season. This is only possible in view of the local conditions (particularly soils) and especially the harvesting approach adopted by Guavirá, that includes the construction of roads to access specific harvesting compartments during the rainy period. As a result of having operations during twelve months of the year, and the use of improved harvesting and transportation technology and equipment, the costs of these operation is much lower than those faced by competitors. The equipments used are basically one skidder, one front loader and five 70-tons-lorries, and this is sufficient to supply the 85,000 m3/year consumed by the mill. In order to strengthen its competitive advantage, GUAVIRÁ decided to invest in a modern sawmill. The main reasons for investing in a new sawmill were: increase in productivity, reduce wood waste and improve the product quality aiming to gain the international market. The project for modernising GUAVIRÁ’s operations and facilities was carried out with the support of a consulting company. The modernisatio Currently, Guavirá produces 45,000 m3/year of tropical sawnwood. Higher grades are transformed into value added products (around 10,000 m3/year of value-added products are sold mainly in the international market in form of mouldings, decking, furniture components, etc.). As a result of the strategy adopted (adding value to a significant part of the production and trading in the international market) the average selling prices increased by more than 100% over the last 3 years. The
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increase on the average price made it possible to increase revenues and profitability, while at the same the volumes harvested declined. From Guavirá case it is clear that to increase the productivity in the production chain is fundamental to compete in the market and to ensure the economic sustainability of the business, the most important factor to ensure that the environmental and social criteria set for management are achieved. In any case, Guavirá has questions regarding the long term economic sustainability of the business. Increasing complexity of the legal framework dealing with forests, the growing overlapping of regulations resulting from the on-going decentralisation process is continuously increasing the operational costs. This stimulates informality and corruption, especially when coupled with a weaknesses in law enforcement. There are serious doubts particularly regarding how effective government will be in enforcing law related to property rights in the future. This might limit the investments in the future. 4.3.3 Orsa Florestal The Jari Valley region, located in the north region of the Para State, Brazil, 600 km far from the capital Belém, has its history intimately linked to the Jari Celulose forestry activity (known all around the world as Jari Project) installed in the region in 1967. The project started with the establishment of plantations and later (in 1978) a pulp mill was started. In 2000 Orsa Group took over the project, and it was decided to implement in the region a Sustainable Development Pole, focused on the multiple use of the forest resources, besides continuing the growth on the pulp business (so far the main economic activity). In 2003, Orsa Florestal started up the activities of its sustainable forest management plan in an area of 545,000 ha. A rotation of 30-year was considered in the management plan. In the same year, the company initiated the FSC certification process, together with the Scientific Certification System (SCS). Besides the timber, NWFP are also expected to be certified. The idea is that NWFP will be harvested by the local community, with the support of the company and Orsa Foundation. The company also started up a sawmill. The current production is 1,500 m3/month, and production is air dried prior sent to final consumer. Along 2004 the sawmill capacity will expand to a production of 3,000 m3/month. The company is also putting in place secondary processing facilities aiming to produce S2S, S4S, decking, flooring products and other value added products. Along the last decade Brazil has developed an extensive and complex framework of laws, policies and regulations that support SFM. This includes a clear definition of national objectives related to forests (production, conservation and protection), tenure of property rights, control of forest management and harvesting and other elements. In fact, Brazil is perhaps one of the countries in the world with the most complete regulatory framework dealing with forests. The Jari Project, due to its magnitude, foreign investment involvement and location has been under discussion level for a long time. Problems related to the internationalisation of the Amazon region, social and environmental impacts have been raised at national and international level. Furthermore, the economic viability of the project has been questioned, and for more than two decades the investments were reduced and there were doubts regarding its continuity. The transfer of the company control to a national group of investor mitigated the problems related to the internationalisation of the Amazon region, but concerns on the negative social and environmental impact, as well as the doubts regarding its economic sustainability continued under discussion. Orsa Group decided to focus on the weakness of the project. New management concepts introduced, including a clear corporate policy involving environment responsibility, research and development and better uses of the local resources, have changed the image of the company. There is no doubt that lessons learnt over almost half century have been of outstanding importance for introducing the new management approach, but it needs to be recognised that Orsa was able to critically analyse the problem, and use the experience gained to restructure the operations and turn it in to a sustainable business, fully integrated to the local reality.
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The knowledge gained in relation to the establishment of fast growing plantations in the tropical rainforest regions is of outstanding importance. It took several years of intensive research, extensive field testing and very large investments to reach the current stage of high productive plantations, able to produce high quality pulp wood. The increase in yield of the plantations made it possible to reduce land area requirements and, what is most to turned the company profitable. Original total land owned by Jari Project have also been reduced. Orsa recognized land rights of some local communities and also created protected areas in certain special environments. This reduced the conflicts in the region and improved the image of the company, and still there is sufficient land to explore, in cooperation with the local community and several organisations, options for the sustainable development of the natural forest. The natural forest potential is now an important component of the company business. No doubt that Orsa is still in an early process of learning how to manage tropical natural forests, but by having a well-established management structure, financial resources available, and a well-defined strategy and business plan, the learning process has been facilitated. One of the strengths of the company in the social, as well in the environment area, is Orsa Foundation. The Foundation has available 1% of the gross annual revenues of the Group to implement the programmes and projects. The Foundation structure and funds is of outstanding importance to facilitate the cooperation with the community and also with national and international organizations. Under the social programme the implementation of SFM will allow to carry out several activities to generate revenues for local communities. One of the activities is related to non wood forest products. The idea goes beyond the creation of jobs, it passes through human resources training in aspects of production and organisation, enabling the creation of new businesses ruled by the local communities, aiming at improving local economy. Orsa is an example of a company that has made a tremendous effort to adopt SFM, incorporating an integrated approach, having in mind that the economic sustainability is the basis to satisfy social and environment criteria. The assessment clearly indicates that having available financial and human resources is fundamental to achieve the target. In the case of Orsa these factors are not, in principle, a strong limitation. It seems that the company is on the right track, but how successful the company will be in SFM will remain to be assessed in another few years. 4.3.4 Cikel CIKEL is a Brazilian private-owned group established in 1974. It is a fully-integrated timber company. Their operations cover logging and harvesting, manufacturing (primary and secondary processing), and trading. CIKEL is one of the largest timber companies operating with tropical timber in Latin America. The company employs around 1,800 persons and their total annual income is approximately USD 27 million. In 2000, CIKEL decided to incorporate five small forest management plans in just one large project, covering an area of 206,412 ha. The new forest management plan was intended to involve all the technological and scientific knowledge available. Initially, CIKEL invested in human resources in-company. It developed its own forestry department. Moreover, all the supporting office and field infrastructure was created as well. At the same time, the company has established several partnerships and agreements with research centres, universities, NGO’s, among others, aiming at subsidizing information and knowledge needed for the elaboration of CIKEL’s SFM plan. Experts of different fields and several institutes and organizations were divided into working groups and, together with CIKEL technicians, they developed the company’s SFM plan. Until recently, such SFM plan was the largest one developed, implemented and submitted to responsible government authorities in Brazil. The SFM plan implementation required a strong commitment by CIKEL to the local community. In fact, the company managed to find ways of making the local and traditional population aware of the importance of SFM and of its conservational contribution to the region. Initially, the idea was to put in practice an environment education programme focused on the community located in the forest management unit, but in the long run, it was expanded to all surrounding community.
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The conception of the company’s forest management project, considered innovative, multidisciplinary and inter institutional, lead the company to adopt the principles, criteria and indicators of the International Forest Certification, according to the Forest Stewardship Council (FSC). Logically, among the several benefits reached by CIKEL after SFM plan implementation, there were great challenges which were necessary to be overcome, despite some of them still remaining. The main difficulties are listed as follows: i) lack of incentive mechanisms by the local, state and federal governments; ii) the press prefers to market hard news on projects in the Amazon; iii) not loyal competition in terms of market, including the domestic one, which does not take into account social and environment principles in their buying preferences, only being based on price; and iv) constant demands of innovative investments in environment technology and specific trainings. In relation to the synthesis of generated benefits, they are: i) better relationship with the community, including the possibility of offering qualified jobs; ii) higher commitment of the employees in solving routine problems; iii) breakthrough in relation to profiting with environment conservation; iv) incitement of the treespecies traded in international markets; v) better environment image of the entrepreneurship located in the Amazon; vi) increase of the international competition in “green markets”. It has been observed that many results can be considered intangible as many investments in environment area show because of the difficulty in economically measuring this cultural transformation promoted in this study case. This issue becomes even more relevant since it is located in a region of significant logistic difficulties in comparison to other industrialized sectors where the environment component is only one of the factors that interferes in the economic performance of the entrepreneurship. Even being considered as model for SFM in the tropics, by having accumulated large experience along the last years there are some problems to be overcome. The main problems can be summarized as: i) lack of adequate government financing mechanisms to effectively promote the adoption of SFM; ii) complex legal framework results in increase in costs and competitiveness in the international market (there are other sources of timber much less regulated); iii) unstable regulatory framework and particularly uncertainties in relation to land and forest property rights creates makes decisions on long term investments in forest and industrial operations difficult to be taken; iv) image of the timber industry continues to be a limitation to access credit and other benefits; v) fails in national law enforcement, that leads to unfair competition in the market. As it can be noticed most of the problems listed can not be solved by the company. It requires in principle the direct involvement of the Government at federal and state levels. 5.0
MAJOR ISSUES
5.1 General Aspects This study points out that discussion on SFM has been in the national agenda of practically all tropical countries of the Latin America and Caribbean region. In most cases, this is a result of involvement in the international discussion, and environmental pressures. NGOs are actively involved in promoting SFM in practically all countries. Although policies and legal framework development related to SFM vary among countries, the general principle involved is quite similar. Differences are very connected to the importance of tropical forests to local economy, size of the forest resources, involvement and strengths of the private sector and influence received from international organisations. The private sector involvement in SFM in the Latin American and Caribbean region also varies. In countries of the region where tropical forests resources are extensive, there is an established legal framework, the industry is active and important to the social and economic development, such as in Brazil, Bolivia and in few other countries, the private sector is involved in the discussion and in SFM implementation. This work shows that in generally the developments made by the private sector to improve forest practices is well above expectations. In most countries of the region the private sector is the main investor in SFM, if not the only, when dealing with production forests. As a result of these facts, the private sector has accumulated experience and know-how in the actual implementation of SFM, and this has not been fully recognised.
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Even when dealing with a successful private sector, several constraints have been identified in SFM cases. Costs are high and there is no effective incentive mechanism in place to promote and support SFM implementation. There is need and the companies face problems to compete in the national and international market. These limit the adoption of SFM by companies that have sufficient financial resources to create their own mechanisms to make it possible to internalise, via market, the additional costs resulting from the new forest, environment and social practices. This chapter presents a general assessment of the current situation, specifically related to the involvement of the private sector in SFM practices in the Latin America and Caribbean region. The review covers the most relevant issues on SFM, grouped in the following items: i) governance; ii) technical and scientific aspects; and iii) trade and economic aspects. Country specific aspects such as policy and legal framework, economic and institutional framework of the public sector is not included in details in the assessment as the project focuses on the private sector and on its contribution to SFM. Nevertheless, an assessment on implication of these aspects over the private sector SFM activities are included. The assessment is largely based on the findings of the consultant who contacted several companies, visited forest operations in different countries of the region, made contacts with professionals and other groups, reviewed publications and other documents, and who was also directly involved in the four case studies in the region. It is recommended that the reader reviews the four case studies (one in Bolivia and three in Brazil) prepared for this study. The case studies cover specific situations and make reference to strengths and weaknesses of the companies involved. The specific assessment made for each company was based on the ITTO Manual for the Application of Criteria and Indicators for Sustainable Management of Natural Tropical Forests at Forest Management Unity. 5.2 Governance Related Issues As already mentioned, most countries of the region have in place policies and a legal framework to govern issues related to forest production, protection, and conservation. This normally includes the establishment, and security of permanent forest estate, land tenure and property rights related to forests, control of forest management, control of forest harvesting, and other aspects. In this document, discussion on governance issues focuses on aspects that the private sector considers the most relevant in view of their direct and indirect implications on SFM. The aspects covered are: forest regulations, property rights and law enforcement. 5.2.1 Complex and Inefficient Regulations As in other parts of the world, forest and environment issues have been part of the national agenda of Latin American and the Caribbean countries for more than two decades. Notwithstanding there are local initiatives, the influence of the international community in view of global concerns, sometimes genuine, involving forests and the implication for the environment, has been strong. The reasons are primarily associated to the fact that the depletion of forest, particularly of tropical forests, has been associated to adverse effects on climate, lost biodiversity and other negative long term effects that transcend country boundaries. The international concerns related to forests and environment, coupled with a general weak institutional framework of the Latin American and Caribbean countries, have made many countries of the region largely dependent on the international bilateral and multilateral cooperation, as well as on international NGOs, to develop national policies, laws and regulations at all levels. Together with this intra sectoral development other extra sectoral factors have also affected the development of the regulatory framework related to forest and environment. One of the important extra sectoral factors is related to general policies towards decentralisation. In most countries several international organisations, from different origins and vocations, were involved in the process. Weak institutions in countries of the region were not able to properly influence or drive the process, and the general result is a quite complex legal framework, that does not take into
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consideration the local conditions. This leads to problems in law enforcement (see comment further ahead), facilitating corruption and increasing operational costs for the formal sector of the economy. The list of requirements to be covered for a company operating in the tropical timber business is quite extensive. There are also other common problems, including a frequent overlapping between the federal government and state governments (a source of additional costs and conflicts) and lack on stability in dealing with laws and regulations (that put in question returns on long term investments). Private sector of the region has been discussing these problems with local governments, but with little results. Ironically, the private sector’s capacity in influencing the government has been lower than that of international or even small local NGOs. In any case, the assessment made indicates that the private sector, being an important investor in SFM, has learnt from the process and based on their practical experience should be invited by governments to discuss options. Among the questions put for discussions by the private sector during the implementation of this study, and that governments of the region might want to consider in future discussion are: • The size of the state structure was increased to make it possible to implement the complex regulatory framework related to forests and environment along the last years. How efficient are governments in the implementation of the existing regulatory framework? The costs involved can be justified in a cost-benefits analysis? • Is decentralisation working and helping to promote SFM or is it, in fact, an alternative source of funds for sub national governments, adding more costs to private sector operations? • Is the developed regulatory framework helping SFM or is it creating obstacles and reducing the value of forests, and thus indirectly promoting deforestation? • The additional costs resulting from the adoption of practices to generate broad social and environmental benefits are now internalised by the timber production private sector. Should these costs be socialised (nationally and internationally) and shared among all beneficiaries? • Why should forests activities in the region be more regulated than forests activities taking place in other regions? Is this fair for local companies considering that companies compete in a global market? • Have sufficient investments been made by governments in proactive initiatives, targeting the root of the problem such as in education? • How stable is the current regulatory framework? What will be the next and how can investors be sure of returns in such an environment? In fact, in most cases, regulations in place were not broadly discussed and agreed among the stakeholders, local knowledge has been ignored, and internationally criteria used as parameters are not always fully appropriate. The existing regulatory measures should be revised and efforts should be made to increase the efficiency of the governments in the region. Reducing regulatory measures and bureaucracy, and increasing efficiency in enforcement of laws and regulations are among the important issues to be discussed. Regulations, when needed should only set a minimum standard in a clear and transparent way, while simultaneously they should help to solve conflicts, accommodating different interests and creating a stable investment environment. In summary, the view of the private sector is that regulations, when needed, should promote SFM and not reduce the value of forests. 5.2.2 Property Rights, Land Tenure and Permanent Estate Forests Land tenure and, in particular, the absences of well-defined property rights have been the key problems to attract investments in the forest sector in the Latin American/Caribbean region. Indeed, the insecurity of property rights prevents or, at least, reduces private investments in the forest sector and, consequently, in SFM. Such aspect was reported recently by the ITTO Mission to Guyana (2003). The lack of tenure security, which arises from the existing access arrangements, discourages investments in SFM. As there is no
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guarantee that the investor will continue to have access rights to the same concession area in the future, this encourages excessive logging and other unsustainable practices. Indeed, it would appear that there is an entrenched culture of forest extraction and utilisation within the industry rather than a commitment to enhancing the productivity or value of the forest that is left after harvesting (ITTO, 2003). In fact, resolution of the conflict over land tenure rights and property rights law enforcement are, in most countries in the Latin American/Caribbean region, mainly Bolivia, Guyana, Peru and Suriname, a prerequisite for achieving SFM. Increased tenure security can be an important element in any strategy to promote SFM in the Latin American/Caribbean region. Other measures can also play an important role as, for example, a variety of tax-related measures may be used as a complement to promote SFM. Alternative land uses may be promoted or discouraged depending on the taxation system. Areas under natural forests could be subject to low land taxes while those used for pasture or agricultural uses could have higher taxes. In addition, easements and conservation agreements could be promoted by granting lower tax rates. Other examples of taxation policies that may be used to discourage deforestation and to promote SFM are income tax deductions for donations of land for conservation purposes. Tax deductions can also be implemented for expenses incurred in protecting forests from destruction. Moreover, income derived from sustainable forest use could be exempted from taxation. Central governments should also considerer increasing the allocation of fiscal budgets to municipalities that make significant effort to directly protect forest or by enacting local incentives for the private sector (Jaramillo and Kelly, 1997). Social movements have created pressure over forest lands. Behind the social movements are poverty and in some cases interest of specific groups. In Brazil and also in other countries of the region social movements have made governments create land distribution through an agrarian reform programme. In many cases, forest land has been taken over by land distribution programmes and, in most cases, results are not positive. Forest potential is lost and the lack of technical assistance and support to the new settlers have resulted in failure of the programmes. Forests and land is degraded and the social problems continue. There are cases where land occupation takes place by social movements and forests are degraded, regardless of having a government programme or not. This generates conflicts and the property rights are seldom respected in view of the inability of governments to enforce the laws. Additional comments on this issue is made later in this report when dealing with law enforcement. For most countries the regulatory framework, as it is at the moment, requires quite extensive forest land areas. SFM in small areas are economically and operationally not feasible. In practice that means that none of the small land owners can have their forest estates under production or their operation are considered as illegal, even when proper SFM practices are adopted and forests are protected (see comments under item dealing with illegal activities). Land tenure and property rights are, in fact, a crucial issue in countries where private forest land system predominates for production forests. This is the case of the large majority of tropical countries in the Latin American and Caribbean region. Nevertheless, it is also a problem in countries with public land, such as in Bolivia, where concession holders are responsible, to some extent, for the maintenance of forest estates. In spite of the fact that social movements have an important contribution in creating instability on issues related to property rights and land tenure in many countries of the region, there are also other land related aspects, directly linked to government decisions that have created uncertainties and contributed to reduce the private sector investments in SFM. Unclear definition of forest estates and lack of land use zoning is a general problem. There are cases where private production forests have been declared as fully protected land or defined for other land uses. Changes on land use rarely take place when considering agriculture land for example. 5.2.3 Illegal Activities and Law Enforcement The timber industry has been frequently associated to illegal activities. Along the last few years discussion on illegal logging have gained importance in global discussions, and has involved countries and international organisations, including ITTO, the World Bank and others.
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The US Government and the European Community have put in place initiatives to restrict illegal logging. It is said that illegal logging and related trade are a growing problem with negative economic, environmental and social implications, and combating them has become a priority. The main objective of the EU Action Plan for Forest Law Enforcement, Governance and Trade (FLEGT) for example, is to create and to implement a timber licensing scheme through partnerships with producing countries. It is expected that the scheme will secure that only legal timber enters in EU. EU´s strategy considers to take the matter to the WTO. As a result of the work carried out under this project it is clear that the private sector, involved in operations in tropical forests in the region, is not aware about the on-going global discussions. Again it seems that the most important stakeholder has not been involved and this is much to be lost on this approach. Illegal logging definition is not clear and there are evidences that the international debate still has not agreed upon a proper definition for illegal logging. The basic questions are related to the scope of illegal activities, need for an harmonisation of concepts among different societies and countries, aspects related to dynamic nature of the laws and regulations that change over the time and other aspects. Some organisations, including FAO, have defined illegal logging based on a relatively narrow connotation. Under the definition, illegal logging occurs when timber is harvested in unauthorised ways, in violation of established laws and regulations. The discussion is now on the adoption of a broader definition; involving not logging only but also trade activities (not only logging and related trade as in principle is considered by FLEGT). The broader concept considers that logging and trade activities are associated, inter dependent and both have negative impacts on SFM. Under the broader concept, the illegalities would include illegal logging (logging in protected areas, lack of felling permits and other aspects), illegal timber transportation, illegal trade (smuggling timber, trading timber species forbidden by law and other related activities), illegal forest products processing, transfer pricing, illegal accounting practices, financial crimes and corrupt practices (bribing, retaining public information and others). As can be observed, the list is vast and transcends the narrow definition of illegal logging. As a result of the complexity of the issue this matter for sure will remain under discussion for a long time, and it seems to be fundamental to open the discussion and involve the private sector. Regardless of the narrow or broad definition adopted, there is no doubt that illegalities are part of logging and trade activities in the Latin American and Caribbean region. Also, it is clear that the complex regulatory framework has played an important role in increasing illegalities, and many operations considered as illegal in most countries of Latin America and the Caribbean would not be in other parts of the world, such as in the US, where harvesting in private lands is quite deregulated. The the State, is unable to control activities at the forest in their own lands. Illegal logging also takes place outside public lands, and is quite frequent in small properties. This is quite common in settlement made by land distribution government programmes in forest areas. In Ecuador, for instance, most of the supply comes from colonisation areas, where harvesting takes place in properties having 50 ha or less. In general, these property owners have no knowledge on the required permits and that they are operating illegally. Even if the information exists they would not have conditions to comply with the complexity of the process. This problem exists and that remains to be solved. There are options to be discussed for small properties, and a proactive approach from the Government of the region will be necessary. Timber illegally logged in public land and small properties ends up in the timber industry and goes to the market. The results of this study demonstrates that the private sector is aware of the problem. The perception of companies is that to compete with supply coming from unsustainable sources is difficult. SFM carries financial and managerial costs and is expected to yield financial results in the long run. There is no doubt that unsustainable illegal activities in “free accessible timberlands” are much more profitable on a short term and therefore legitimate investors are at a great financial disadvantage when forest crime proliferates.
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Unfortunately, this is the case in many countries of the Latin American/Caribbean region. In some extreme cases, illegal activities are closely linked to corruption. Also needs to be considered that to obtain information on illegal practices and their contribution to total production is not an easy task and information available is not precise. In most cases, the information has been built up by NGOs and the private sector does not consider the information reliable. For example, the information on illegal logging in Brazil indicates that over 80% of the timber harvested in the Amazon region is from illegal sources. This information has been static over the last almost 20 years. The private sector considers this can not be the case and that the original figure was not correct, and has been reproduced in publications over the years. On the point of view of the private sector there is clear evidences that changes have taken place along years, and it can not be accepted that all effort made by the national and state government in improving legal framework and law enforcement, and also the work developed by NGOs, did not have some impact on this situation. The number on illegal logging registered for Peru are also high. Based on information available (the consultant was not able to assess the quality of the information) illegal logging is an acute problem of the forest sector. It is estimated that anywhere between 70 and 90% of all timber coming to the market is illegally harvested, although no reliable data is available on this issue. The linkages between illegal logging and other unlawful activities in forest areas, combined with limited resources and capacity for lawenforcement, make it extremely difficult for the Peruvian forest authorities to effectively fight against this problem. In addition to the permanent production forests, forests belonging to native communities are subject to illegal logging. The pressure on these areas, as well as on the areas belonging to the national protected area system, is increasing as the availability of commercially valuable tree-species decreases in other forest areas (ITTO, 2003). Control and law enforcement of the illegal activities in the Latin American/Caribbean forests are extremely difficult in view of: i) the vastness of the area; ii) poor infrastructure; and iii) a large number of actors contributing to deforestation. Difficulties of control and law enforcement are being aggravated through institutional and political problems: i) limited presence of governmental institutions; ii) fragmentation and duplication of activities of environmental institutions, which have been frequently observed in Brazil; iii) low political priority given to control of land and forest use; and iv) limited financial resources (Simula, 2002). The assessment made by the consultant corroborates with views of the private sector. There are much more illegal activities related to forest, timber processing and trade than the “classical illegal logging”. In fact, negative economic, social, environmental implications are much more possible associated to illegal activities taking place outside of the forest boundaries than to illegal logging. For instance, it seems that transfer pricing practices (including under pricing, under grading, miss species information, financial schemes and other forms) that take place in most Latin American and the Caribbean countries is by far more important than other illegal practices. Countries have lost millions in their exports, and this has indirect effect on social and environment conditions, and thus on the country capacity to promote SFM. In dealing with transfer pricing, it worth to note that, in most countries of the region, international trade is largely dominated by transnational companies. These companies are largely concentrated in trade with, normally with no linkages with forest related activities, and very little commitment with local or regional social and economic development. These facts, together with financial resources involved, emphasizes the importance to consider a broader concept in assessing illegalities associated to logging and trade. Despite all these aspects, there are indications that illegal activities associated to the tropical forest industry in the Latin American/Caribbean region have been reduced over the last few years. This was a reflex of adoption of SFM by many countries in the region resulting mostly from international pressure. Private sector attitude is changing rapidly and have interest to cooperate to reduce illegal activities. The general agreement within the private sector is that a review on regulatory framework to improve efficiency, reduce the costs and facilitates law enforcement is important to promote the formal economy and attract investments needed to promote SFM.
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5.3
Technical and Scientific Issues
5.3.1 Capacity-building and Education for SFM This study points out that the lack of qualified human resources is one of the major constraints to progress towards SFM in the Latin America-Caribbean region. The problem is faced both by the private as well as by the public sector. In any case, in view of the fact that the private sector is the main responsible for the implementation of SFM, the problem is more critical in their case. The lack of trained personnel in the private sector is reflected in all levels, from the management level down to forest workers. In general terms, the concept of SFM and new techniques, such as RIL, are still insufficiently mastered and hardly applied. Capacity-building to improve management is required not only for the production forests managed by the private sector. It is also critical in community forests management. The case studies carried out under this project shows that large companies have found ways to partly solve the problem. The alternatives have been the use of external consultants, cooperation arrangements with local and international institutions, in-house training programmes, and the protected forest, but also for the industrial operations, but this results in the adding of costs to the companies’ operations. The problem is not restricted to forest operations. Lack of qualified labour for management and actual operations in timber processing and in trade is a serious constraint for the adoption of new technologies, for adding value, increasing productivity and gaining competitiveness in the market. In fact, due to the priority given to forests and environment issues capacity-building in industrial operations, and also trade, has been left in most cases to second priority. This is a serious mistake as only an efficient industry can transform the existing potential into goods that can be profitably traded in the markets. So the economic sustainability is at risk. The situation varies among countries and within the timber industry. As expected in less developed countries of the region and in smaller companies the problem is very serious. Besides capacity-building to properly managed and operated forests and industry, there is also a lack of educational programmes for local communities living from or close to the forests. There are some important experiences gained in the private sector in relation to this aspect that could be used for replication. The response obtained from the communities on programmes implemented by the private sector has been surpassed expectations. Communities have changed their attitude in relation to the environment, forest and even to the timber industry. The lessons learnt show that with well-designed but relatively simple education programme focusing on forest values can have an important impact with relatively low investments. The finding of this study again corroborates with the views of the private sector. In practically all countries of the region, Governments have done very little in relation to capacity-building and education of those that work at or are at the forests region. Governments need to adopt a positive agenda and a proactive attitude, and work in cooperation with the private sector, international organisations and NGOs to find ways to facilitate the implementation of SFM. No doubt that one of the activities of priority is capacity-building at all levels, focusing on those involved in forest and industrial operations, the actual responsible for turning SFM viable. However, the positive agenda needs also to consider cooperation in a broad education programme focusing on SFM and related issues. 5.3.2 Research, Development and Information In spite of efforts and quite significant recent achievements, due to the complexity of the tropical forests, there is still quite a lot to be done on the basic and applied research in the Latin American/Caribbean region. In practically all countries, research is still treated as a government property and a few countries in the region have been well-established and have active organisations, with an adequate research and development programme in place. In most countries, research and development is treated as part of projects, frequently financed by international organisations. The subject covered in the projects varies depending on the donor’s priorities, preferences of individuals or other unclear reasons.
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As a result of this scenario, in spite of investments made and a relatively large number of projects, very little of the research’s results have been used by those actually involved in SFM in production forests (the private sector). Several countries of the Latin American/Caribbean region recognise the need for making changes in their forest research institutions to correct these deficiencies. In spite of the fact that there are countries with a large number of institutions that should and could be involved in R&D, in general, poor management, and lack of cooperation with private sector and other organisations makes scientific production practically absent. This situation together with a lack of a national coordination for R&D leads to duplication of efforts, weak institutions with a limited possibility for developing multidisciplinary research. In most cases, there are no practical results to be offered to the society, and time and financial resources are wasted. In several organisations the practice is “wait for the new project to be financed and start to work” and not “these are the national priorities we need to solve based on our research programme”. According to FAO, resources are allocated to forest research in the Latin America-Caribbean region are not sufficient. The Government continues to be the main source of finance, but there is a tendency to reduce funds for forest research in state institutions based on an understanding that the gap will be filled by the private sector, which in not always the case for natural forests. This has forced institutions to orient research work to those fields where financing is easier, and not always does this take into account needs to improve SFM. Financing with funds obtained through bidding is a mechanism that has gradually taken hold in several countries of the Latin American/Caribbean region. This mechanism, which has the advantage of making possible a good selection of projects, and opens important channels of collaboration with the private sector, generates serious problems in the stability of forest research institutions, which do not have permanent budgets to maintain stable high level research teams nor to carry out long term research, which are fundamental for the forest activity. The participation of the private sector in financing forest research is still limited. In practically all Latin America and the Caribbean tropical countries information on tropical forest resources, timber industry and trade are very limited. When available, they are not precise or updated. Several efforts have been made to improve this situation, including ITTO’s support to projects aimed at putting an information system in place. The problem is that in most cases the work is not continued after the project is completed. It seems having an information system in place is not one of the priorities of local governments. The situation is generally chaotic, but of course varies among countries and within the environment and forest sectors. In none of the countries important information, for example, on sustainable timber production is effectively available. Nevertheless, Brazil has precise, constantly updated, information on deforestation, but the data on the number of timber industry in operation, consumption and production of forest products is based on rough estimates. Information on resources, consumption, production, imports, exports, markets, and other aspects are strategic in proposing a national forest development programme and for SFM implementation. Its absence indicates that Governments of the region have a limited capacity to effectively guide the national development of the sector, ensure SFM adoption. This is most probably one of the reasons that governments of the Latin American and Caribbean region in many cases tend to adopt a conservative approach. The results are that countries tend, in the best situation, not to make use of the full potential of forests to improve social and economic conditions of their inhabitants. To have information available is also very important for the private sector in their investment decision. In many cases, as identified during the implementation of this study, the wrong decision was made due to lack of information. Finally, information in most countries of the region is not accessible to all. There is a strong need to democratise the information. This would help reduce illegal practices, especially corruption. 5.3.3 Priority Given to Plantations The complexity of the regulatory framework and the increasing focus on natural tropical forests has been a driving force to promote plantations, when possible outside the tropical regions (as has happened in Brazil).
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The private sector’s general perception is that on a medium term natural forests will no longer be accessible for timber production, or the soaring trend to increase regulations will increase the costs to a point where tropical timber be replaced by other timbers or by non-timber products. As a result of this perception and also incentives many Latin America-Caribbean region countries have established plantations, some quite extensive, and the trend is that the planted area will grow fast in the next few years. Not only plantation for timber production is expanding, but also for non-wood products. An example of the fast development of plantation for non-wood products is rubber plantations in Brazil. In spite of the incentives for natural forest rubber, the establishment and investments on the so-called “extrativist reserves” that received a strong support of international organisations and NGOs, over 90% of the present natural rubber production came from outside the Amazon region. By far, the most important production area of rubber is located in the State of São Paulo (south-eastern part of the country. This process is under observation by the private sector in all Latin America and Caribbean countries, and has put under discussion when new investments are to be made. Governments of the region need to pay attention on the evolution of the process, as the private sector, currently the main investor in SFM, might not be willing to continue to operate in natural forests in the future. In spite of the fact that for some this might represent the solution, in most cases of forest areas local communities are largely dependent on the timber industry operations. If timber industry disappears from the region, the government will need to find another economic alternative, as poverty will tend to increase and forest will be rapidly depleted. One alternative might be to combine operations in natural forests with plantation in degraded areas. This has been identified in this project as an alternative under consideration by the private sector. In any case, it seems that there are problems to be solved in the tropics when dealing with plantation. Technology developments on plantations have been concentrated outside the tropics, or at least outside the wet tropical areas. 5.4
Trade and Economic Issues
5.4 Lack of Markets and Market Distortions The finding of this study indicates that trend is that in the Latin America and Caribbean region SFM cost will be most internalised by the private sector. Most governments of the region have little resources to invest and no political will to find alternatives. Thus market is therefore an important component, as it is the only form to ensure the economic sustainability of the companies. Tropical forests are quite variable, with a relatively large number of wood species per unity area, but for many years only a few species were accepted by the market and regularly traded. In some extreme cases, such as in Bolivia in the past a single wood species (mahogany) was responsible for more than 60% of the total exports, and 2–3 wood species used to represent around 90%. It was possible to operate with a small number of timber species, in view of their high market prices that could support extremely high harvesting costs. These practices were, no doubt, not sustainable, and in several areas the availability of commercial logs of market species rapidly declined. Thus with the adoption of SFM new species needed to be considered. To increase the number of species allows higher removals, and therefore reduces the harvesting costs. Nevertheless, few LKS are accepted in the market, the introduction of a new species is a long term investment, and their lower price does not compensate the gains obtained by reducing the harvesting costs. Some countries have been more successful than others in terms of species diversification. This is partly related to how aggressive the private sector, but also depends on the investments made (normally by the private sector) and also on logistic problems (mostly dependent on the country). For instance, Bolivian timber industry has more problems in finding markets for LKS than the industry located in the State of Pará in Brazil, that is closer to the ports and have available a better infrastructure. So far efforts made by the government of the region to promote LKS have been very little. Practically all successful stories are based on efforts made by the private sector. Some international organisations have supported private sector efforts. Examples are ITTO’s financing in Peru and Brazil.
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Some of the goods and services that could help to internalise costs associated with the adoption of SFM are not traded in markets. The general perception of the private sector is that there are small possibilities to have a significant contribution of NWFP, for example, to finance SFM. SFM can produce a number of benefits – biodiversity protection, carbon storage, scenic beauty, watershed protection – but these goods and services are not traded in markets and thus generally are not of interest in operations of the private sector. In short, markets fail to account for these benefits that can derive from SFM, even though the benefits are made available. The only possible option considered by the private is carbon sequestration based on plantations. In any case, management of natural forests is not eligible under the Kyoto Protocol. For the private sector it is clear that timber will, at least for the next ten or more years, be the only substantial source of revenue, and efficiency in the production chain is the only option to internalise additional costs resulting from the adoption of SFM. The dream sold to the private sector that forest certification could be an option for a premium is over. For those in the market is clear that forest certification is a market requirement to access certain markets, and the costs incurred by adopting certification needs to be, just as in the case of SFM, internalised by the private sector. Other markets requirements have recently been introduced and others are under development, including those associated with product quality, heath and safety, social and legal issues (such as FLEGT). There is a strong focus on tropical timbers, and this will, if not properly considered, corroborate to create market distortions limiting the competitiveness of tropical timbers in the market. Governments of tropical countries of the Latin American and Caribbean region, and most tropical countries in the world, are taking the necessary steps to ensure markets for timber products. Discussion and decisions in the international fora are largely dominated by consumers (developed countries). Also tropical countries are largely concentrated in the environment agenda, and consider trade as a side issue. On the other hand, in most countries, private sector working with tropical forests are weak, not wellinformed and with no capacity to persuade governments to play an active role in the international arena. 5.4.2 Higher Costs and Risks As already discussed, the costs associated with producing market-based goods from sustainably managed forests are higher than for the same outputs from unsustainable sources, but market compensation for the higher costs does not exists. Consumer willingness to pay for green or certified forest products has yet to show up in a widespread fashion in consumer markets. Furthermore, because of the generally longer time periods involved in SFM than in unsustainable harvesting, risks can be considerably higher. Both can lead to lower risk-adjusted profits. Under current market conditions in most countries of the Latin American/Caribbean region, the profitability of SFM is questionable. In general, it seems that “SFM does not pay” for the private sector investments made (Gregersen and Hermosilla). This distortion needs to be considered by local government. In fact incentive to manage forests exists in several developed countries. The incentives are normally associated to social and environmental issues, but at the end it increases the competitiveness of the products in the market. In Latin American and the Caribbean region to manage natural tropical forests is only possible when private sector is prepared to internalise the total costs. The lack of incentives can be associated to limitations in the financial resources of countries of the region, but it is hard to explain how other sector of the economy has incentives in place. Even within the forest sector some countries of the region have in place incentives for forest plantations. 5.4.3 Market Limitation for LKS/LUS To some extent this issue was covered under market distortions, but in view of its importance the subject is revised here. The diversity of timber species is a problem in dealing with SFM of natural tropical forests and this creates a market problem. The information presented in the case studies points out that number of timber species that can be harvested varies largely in the region, so the situation is not uniform for all timber
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companies operating in Latin America and the Caribbean. The lack of a market for less known species (LKS)/ less used species (LUS), has been one of the factors responsible for failure in several forestry investments in the region. In fact the market is very selective in terms of species, and working with a few species means to have low removals per unit area and this increases harvesting costs. Logging a reduced number of species is a constraint not only from the cost point of view, it can also represent a problem in the implementation of forest management plans, if agreed SFM criteria are to be fulfilled. The introduction of new species in the market is a real problem. The solution is not simple, especially when market issues are involved. Changes in market patterns involve several aspects. Market forces are mostly based on the competitiveness of the product in the market, taking into consideration mainly economic-related factors (price, payment terms, delivery, availability, and quality). Introducing a new product in the market is costly, and is a very price sensitive exercise. This means that new species only enter in market if that discount offered encourages the buyer to try a new species. Non-economic related factors can also be used to change market patterns but they are less effective. It is often mentioned that market education can take care of changing consumer’s perception and thus influence market patterns. The experience indicates that market education is normally an expensive exercise, results if obtained are only in the long run, and the involvement and strong commitment of all stakeholders, including government, the timber industry, trade and civil society is required. Nevertheless, importance of market education cannot be over-emphasised, it has to be recognised that market education alone is not the solution (Tomaselli, 2001). 5.4.4 Government Policies and Trade While the constraints eventually lead to failures or weaknesses in markets, the factors that lead to these problems most often are exacerbated by poor government policies, lack of implementation of good ones, and lack of civil society norms setting standards on the use of a country’s natural resources through public policy. The private sector pursues profits, but SFM might not be as attractive as other investment opportunities. There are often easier and safer ways to make comparable profits, both within the forest sector and outside it. Thus, the main policy effort should be to make unsustainable forestry less profitable and to make SFM more financially rewarding. This seems not be a problem in the region, but a global problem. In any case, just making managed forests more attractive than unsustainable sources is not sufficient. Timber is not the only business in the world, and investment will flow to other sectors in case a minimum attractiveness rate is not achieved. This is in fact takes place in some countries of Latin American and the Caribbean region. If the bulk of the private sector dealing with tropical forests starts, for some reason, to review their strategy and reorient investments towards other areas, governments will have more problems to solve in the future. If the private sector is managing to gradually internalise the additional costs resulting from the adoption of SFM, it is fundamental to ensure the economic sustainability of the tropical timber industry. This, in principle, is only possible based on market mechanisms, and thus Government needs to pay more attention on trade-related policies, to develop improved mechanisms to promote tropical timber trade, and be active in international trade discussions. 5.4.5 Lack of Finance to the Private Sector In most countries of the Latin America-Caribbean region, particularly Bolivia, Brazil and Peru, new laws and improvements in law enforcement have contributed to the adoption of SFM, but the economic sustainability of the process continues to be questioned. Since the adoption of the new forest law in some countries, as for example in Bolivia and Peru, the impact of having transferred SFM costs to the private sector, the application of excessively high standards in forest practices right from the beginning, and the creation of several regulatory bodies and uncontrolled bureaucracy is now part of the equation to be solved. In fact, a major problem to be solved to turn forestry activities into a viable business was created.
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In practice, the new forestry law of Bolivia, instead of supporting SFM, has created new and additional costs for both the private and public sector, and this has been detrimental to forestry activities and to Bolivia as a whole. Industrial activities collapsed after the new law, forest products exports have decreased since 1999 and private sector debts soared. A study carried out on options for the private sector in Bolivia (STCP, 2000) indicates that there were also other factors that contributed to the present situation, but in any case the new forestry law had a substantial impact. At the moment, Bolivian forestry private sector debts are over US$ 250 million, an amount much higher than the existing capacity for re-payment, taking into consideration the size of the private sector on the current interest rates. Bolivia is a small economy, but has large forest areas that can be sustainable managed and forestry can play an important role in socio-economic development. The forest sector can play an important role in the country and there is no doubt that the poor performance of forest industry in the recent years has contributed to the growing social problems, and hence also to the political instability of the country. Peru is following the same track, and will also face the same problems in the future if regulatory measures under development at the moment do not take into account the lessons learnt in Bolivia. In principle, Governments need to recognise efforts of many private companies to reach SFM. To make use of the experience gained by the private sector, the actual responsible for the implementation of SFM is a wise approach. The role of the government is to search for cooperation and conciliation among stakeholders, and defend genuine national interests. Also, governments need to be efficient to put in place an efficient low cost legal framework, having in mind that companies need to compete in the international market. It is fundamental to be in line with discussions in the international fora to build up harmonised requirements and ensure market access. 6.0 CONCLUSIONS AND RECOMMENDATIONS Latin American/Caribbean forests have global importance due to their size and valuable resources. Over one-fourth of the world’s total forests and one-half of the tropical forests lie in the region. Besides providing important national and global environmental services, the tropical forest represents an enormous potential for the socio-economic development of most countries of the region. Based on the finding of this study, based on extensive literature and field research, and also on case studies, the following main conclusions can be drawn: 6.1 Legal Framework and Progress Towards SFM All countries of Latin America and the Caribbean have made progress towards the ITTO Year 2000 Objective. In general, countries of the region have developed a national framework of laws, policies and regulations to govern production, conservation and protection forests. Developments in policies and legal framework, as well as implementation, have not been even in the region. In general, countries where economic activities take place in the forest and where the timber industry is active, the development of putting in place policies and a legal framework has been faster than in countries where these activities are less important for the local economy. The process to develop the needed policy and legal framework seems to have started in Brazil, where several legal instruments to further regulate forestry activities were developed along the last 20 years. In recent years, other countries of the region have implemented regulations for forestry activities, for instance, Bolivia, Colombia, and Peru. Efforts to promote SFM at national level has been generally coordinated by governments of respective country of the region, but there are other stakeholders that are contributing to individual country efforts, including international organisations, NGOs, bilateral and multilateral cooperation and the private sector. For several reasons private sector has not been actively involved in the development of the basis for the adoption of SFM, and are not active in the discussion and formulation of national policies on forest and related issues. Although this approach is a normal practice for most governments of the region when dealing with policies, laws and regulatory measures (regardless of the sector or subject covered), countries are
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losing by not considering the experience of the most important stakeholder, the actual responsible for the implementation of SFM. In general, the process involved in formulation of policies and the legal framework in the Latin American and Caribbean region has been largely influenced by the international cooperation and NGOs. In many cases, the process has culminated with the creation of a complex regulatory framework. Outside of the legal framework some countries are adopting other mechanisms to promote SFM. The adoption of ITTO Guidelines and the ITTO Criteria and Indicators to develop national guidelines and national criteria and indicators for SFM of natural tropical forests is an example. Some are going further, and are developing standards for forest management and investigating the possibilities of having their own system of forest and timber certification. Most countries are following the logical sequence from idea to implementation. Some are much further advanced than others, but all seem to be moving towards improving forest practices. 6.2 Private Sector and SFM Despite the existence of some problems, the private sector in the Latin America-Caribbean region has made a significant progress towards SFM along the last few years. The concept of sustainability has been incorporated by the companies, and their participation in the discussion process, although still incipient and limited by most governments, is increasing. The conclusions of this study indicate that from the point of view of the private sector the main constraints for those wanting to adopt SFM in tropical natural forests can be grouped in: -. Factors associated to the governments’ responsibility This includes the complex and unstable national legal framework, problems associated to property rights, land tenure and definition of permanent forest estates, weaknesses in law enforcement, lack of human resources and of scientific developments, information and transparency. - Factors associated to economic, market and trade issues Under this group the main constraints include market perspectives for LKS/LKU, global trade policies and the increase of market impediments for tropical timbers, competition of plantation timber, internalisation of costs, financing option and costs and benefits sharing for environment benefits. The main conclusions arising from this study, taking into consideration the private sector perspective is presented below. It can be noticed that in some cases is overlapping between factors associated to the government’s responsibility and to factors associated with economic, market and trade issues. The complexity of the legal framework related to forest management, particularly of natural tropical forests, the generally efficient institutions involved, bureaucracy, the very high standards proposed, coupled with the decentralisation process and lack of human resources, are creating problems in implementation and law enforcement. The final result is a substantial increase in costs. This corroborates to increase illegalities and corruption. As a general rule, governments of the region have small capacity (and/or have other priorities) to invest in SFM promotion. As a result, in practically all countries, additional costs resulting from the adoption of improved practices and to maintain in operation an inefficient monitoring and control system, are now charged to the private sector. In sum, the conclusion based on the findings of this study is that, in fact, the problem is not on lack of policies and legal framework, but on its complexity and difficulties on implementation. The future, from the point of view of the private sector is uncertain. The general perception is that costs of SFM will continue to grow during the coming years, and this is based on the fact that new issues will tend to be incorporated into the concept of sustainability and that further improvements in forest practices and forest protection will be required. The governments of the Latin American/Caribbean region will tend to accommodate external pressures and the size of the state will grow, which will further increase costs. Decentralisation process applied for
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tropical forests in many countries of the Latin American/Caribbean region over the 90s has created overlapping structures and legislation, increased bureaucracy tremendously and this has added new costs. If this process continues, it is unlikely that the private sector will be able to internalise all the costs in the future. Governments of the region have in theory, defined permanent forest estates. Depending on the country, forest states can be mostly (or only) owned by the Government or can be government and private owned. In practice, in most countries property rights (regardless of ownership) are not respected. It seems that illegal logging in government forest lands, due to low capacity of government to secure the tenure, is a much bigger problem than in private lands. The government lands end up being the main source of illegal logs to the timber industry. Private forests property rights are often not respected. It is clear that social pressures coupled with weak law enforcement are problems in most countries to ensure property rights. Also government decisions in allocating private lands to other uses (to accommodate social pressures or for environment reasons) creates a feeling of instability in property rights, and this corroborates to reduce investments of the private sector in SFM. Human resources, at all levels (from management to the field operator) are a constraint in practically all countries of the region. The private sector perception is that this would be under government responsibility. Larger companies have found alternatives but small- and medium-sized companies (the large majority) are suffering. Most capacity-building efforts have been concentrated in forest management. In this area, international cooperation has been important. In spite of achievements made the private sector’s conclusion is that this is not sufficient. The conclusion is based on the fact that a well-managed forest will not survive if the economic sustainability is not ensured, and to achieve it, it is necessary to improve management and operations all over the chain, from the forest to the market. Scientific developments on management of natural forests have been made in several countries but there is much more to be done, and governments of the region have invested very little on this. Again international organisations have contributed, but this is not working efficiently, as country priorities are sometimes not in line with donors, and also the project-based approach has, in many cases, no sustainability. Research development is a problem, but in fact the main problem seems to be associated with transference to private sector, the main actor in implementing SFM at the field level. Efforts made by several organisations, such as ITTO, to improve information systems have not been able to overcome government inefficiencies in this area. There is a general lack of information, in all fields, and this, besides creating problems in investment decisions, corroborates with the lack of transparency. The findings of this study clearly indicate that the private sector is the main responsible for financing SFM in the region. There are no incentives or financial mechanisms available to support investments and share costs related to the adoption of SFM. As most of companies dealing with tropical natural forests are small this has limited the adoption of good practices and full compliance of extensive and complex legal requirements. In practice, this has contributed to unsustainable, and in a majority of the operations can be theoretically (under the current legal framework) classified as illegal, in spite of the efforts made to gradually improve forest practices. Under this perspective there are serious questions regarding the future of most companies operating in natural tropical forests in the Latin American and Caribbean region. Growing market impediments and initiatives such as EU FLEGT will tend to reduce international market options for small- and medium-sized companies (the vast majority). To have small- and medium-sized companies out of business will certainly not solve the problem. Illegalities need to be focussed from a broader perspective, and the fact that full compliance of legal requirements related to forest operations is not met, is most probably not the main problem. Larger companies have been able to find alternatives to internalise the additional costs. These companies are using own funds and resources to increase productivity and, through the market, ensure the needed financial resources.
451
The uses of less known/used species (LKS/LUS) and the value adding are the main issues considered by the private sector in their strategy to internalise costs related to the adoption of SFM. By increasing the number of timber species, harvesting costs and pressure over precious/traditional timber species are reduced. Adding value is the option to introduce and make feasible the introduction of new species in the market. Private sector efforts to introduce new timber species and add value have examples of success, and it needs to be recognized that costs are high and changes take a long time. Other options to finance SFM, such as non-wood forest products and environment services, have been analysed by the private sector. Again, the potential varies depending on specific local conditions, but the general conclusion is that the other options might have contribution but, at least, along the next few years, timber products will remain as the main source of revenue. Where, the private sector of the Latin American and Caribbean region is concerned, not only governments are becoming convinced that they are the main (if not the only) economic agent capable to internalising additional costs related to the adoption of SFM. This means that priority needs to be given to the economic sustainability of the operations. This is a pre condition to meet agreed upon environmental and social criteria. All the aspects previously discussed are highly relevant, and their impact on economic sustainability of operations varies among countries, local conditions and the company. In spite of the fact that the future of SFM will continue to be highly influenced by the private sector’s capacity to invest, there are intra and inter sectoral factors that are largely dependent on governments. Among the most relevant strategic actions that governments need to consider in order to create proper conditions to facilitate SFM adoption are: - Creation of a stable and clear investment environment Forestry activities are only sustainable if long-term investments are envisaged. Particularly, in the Latin American/Caribbean region, guarantees of access to the forest resource (including aspects related to permanent forest estates, property rights and land tenure) are among the most important instruments for attracting private investments for SFM. A stable legal framework, and specially law enforcement, is also of particular interest to improve investment environment. Moreover, economical, political and legal stability and transparency is required. - Reduction of transaction costs Operations in the forest sector, particularly in the tropical timber business are becoming very expensive in most countries of the region. This is reducing profits and investments, and the economic sustainability has been questioned. Governments of the region need to search for alternatives, and find out ways improve the efficiency of the regulatory framework and bureaucracy can be the simplest at the moment, but a very valuable contribution in most countries. There are other transaction costs in the countries of the region, common to all business, that could be considered by governments in their efforts to make the country as a whole more competitive. On another level, several other initiatives could be taken by the public sector to encourage private investments in SFM of tropical forests in the Latin American/Caribbean region. One possibility to be considered is the design of incentive mechanisms to facilitate the adoption of SFM and increase the competitiveness of the private sector. The mechanisms should be designed to catalyse and accelerate the process of adoption of improved forest practices, and could even be considered within the concept of public-private sector partnership-PPSP, a mechanism now under discussion for other sectors of the economy in several countries. The PPSP mechanism will not only make available additional resources for investing in SFM and increasing the competitiveness of tropical timber in the market, but it can be designed to reduce costs to the public sector, as in principle, requirements on monitoring and control could be simplified.
452
Besides acting at national level governments of the Latin American and Caribbean region will need to have a concerted effort in their participation in international fora. In dealing with tropical forests and tropical timber production and trade this should preferably be done in coordination with other tropical timber producing countries. There are clear indications, based on continuous discussions in international fora, that new market barriers and impediments will be proposed. Finally, it is of outstanding importance that governments consider all stakeholders, particularly the private sector, in defining a long-term strategy and an action plan aiming at defending the countries’ genuine interests and promoting the adoption of SFM. Experience and financial capacity of the private sector can not be neglected.
7.0 READINGS/REFERENCES AMARAL, P. and NETO, M. A. 2000. Manejo Florestal Comunitário na Amazônia Brasileira: Situação Atual, Desafios e Perspectivas. Brasília, Brazil. CAMAS, O. A. R. and CHÁVARRY, M. G. 2000. La Nueva Visión Política del Sector Forestal en Guatemala. In: Bosques y Desarrollo – Plan de Manejo Forestal: Herramienta para la Sostenibilidad. N. 22. CASTELLANOS, F.R. 2001. The Private Sector and Sustainable Forest Management – A Private Perspective from South America’s Southern Cone. In: Chipeta, M. E. and Joshi, M. (eds.). 2001. The Private Sector Speaks: Investing in Sustainable Forest Management. CIFOR, Bogor, Indonesia. CATINOT, R. 1997. The Sustainable Management of Tropical Rainforest. Scytale Publishing, Paris, France. DOUROJEANNI, M. 2000. El futuro de los Bosques Naturales de América Latina. In: Kari, K. (ed). Politicas Forestales en América Latina. Washington 2000. Banco Interamericano de Desarrollo. FAIRHEAD, J. and LEACH, M. 2001. Sustainable Forestry in Trinidad? Natural forest Management in the South-east. Working paper presented at the workshop ”Changing Perspectives on Forests: Ecology, People and Science/Policy Processes in West Africa and the Caribbean.” The Institute of Development Studies, University of Sussex. FAO (Food and Agriculture Organization of the United Nations) 1999. State of Forestry in the Region – 1998: Latin American and Caribbean Forestry Commission. Forestry Series, N. 12, Santiago, Chile. FAO (Food and Agriculture Organization of the United Nations) 2001. State of Forestry in the Region – 2000: Latin American and Caribbean Forestry Commission. Forestry Series, N. 15, Santiago, Chile. FAO (Food and Agriculture Organization of the United Nations) 2001. Global Forest Resources Assessment 2000 – Main Report. Rome, Italy. FAO (Food and Agriculture Organization of the United Nations) 2003. Situación de los Bosques del Mundo. Rome, Italy. HIGUCHI, N. 1992. Manejo Florestal para a Amazônia Brasileira. INPA – Instituto Nacional de Pesquisas Ambientais. IADB (Inter-American Development Bank). Forest Resource Policy in Latin America. Edited by Kari Keipi. 280 pp. 1999. ITTO (International Tropical Timber Organization) 1990. Directrices de la OIMT para la Ordenación Sostenible de los Bosques Tropicales Naturales. OIMT – Serie Técnica 5. Yokohama, Japan. ITTO (International Tropical Timber Organization) 1992. Criteria for the Measurement of Sustainable Tropical Forest Management. ITTO Policy Development Series N. 3. Yokohama, Japan. ITTO (International Tropical Timber Organization) 1999. Manual sobre la Aplicación de Criterios e Indicadores para la Ordenación Sostenible de los Bosques Tropicales Naturales – Parte A / Indicadores en Nivel Nacional. Serie de politicas forestales N. 9. Yokohama, Japan. ITTO (International Tropical Timber Organization) 1999. Manual sobre la Aplicación de Criterios e Indicadores para la Ordenación Sostenible de los Bosques Tropicales Naturales – Parte B / Indicadores en Nivel de Unidad de Ordenación Forestal. Serie de politicas forestales N. 10. Yokohama, Japan. ITTO (International Tropical Timber Organization) 2001. Annual Review and Assessment of the World Timber Situation – 2001. Yokohama, Japan. ITTO (International Tropical Timber Organization) 2002. Achieving the ITTO Objective 2000 and Sustainable Forest Management in Brazil. ITTO (International Tropical Timber Organization) 2003. Achieving the ITTO Objective 2000 and Sustainable Forest Management in Guyana. ITTO (International Tropical Timber Organization) 2003. Achieving the ITTO Objective 2000 and Sustainable Forest Management in Suriname. ITTO (International Tropical Timber Organization) 2003. Achieving the ITTO Objective 2000 and Sustainable Forest Management in Peru.
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LAARMAN, J. G. Government Polices Affecting Forests in Latin America – An Agenda for Discussion. Washington, USA. OFOSU-ASIEDU, A.. 1997. Experience and State of the Art in Sustainable Forest Management of the Humid Tropical Forest. In: Forest for Sustainable Development: Towards the 21th Century. Proceedings of the XI World Forestry Congress. Vol. 6. 13-22 Oct. 1997. Antalya, Turkey. POORE, D. and CHIEW, T. H. 2000. Review of Progress Towards the Year 2000 Objective. Report to the Twenty-Eighth Session of the ITTO. Yokohama, Japan. POORE, D. et al. 1989. No Timber Without Trees. Earthscan Publications Ltd. London, England. RICE, R.; SUGALl, C and BOWLES, I. 2000. Sustainable Forest Management: A Review of the Current Conventional Wisdom. Conservation International Paper prepared for World Bank forest policy review; Conservation International Website; 2000. SIMULA, M. 2000. Comercio y Medio Ambiente en la Producción Forestal. In: Kari, K. (ed). Politicas Forestales en América Latina. Washington 2000. Banco Interamericano de Desarrollo. SIMULA, M. et al. 2002. Cimplications of Forest Certification for Information and Management Systems of Forestry Organisations. Article presented at the ”Forest Information Technology 2002 International Congress and Exhibition.” Helsinki, Finland. SIRVIÖ, S. 1999. El Desarrollo Forestal y la Ejecución de las Propuestas de Acción del Grupo Intergubernamental de Bosques (GIB). Serie GIB/FIB. Santiago, Chile. FAO. TOMASELLI, I. 2001. The Private Sector and Sustainable Forest Management – South American Perspective. In: Chipeta, M. E. and Joshi, M. (eds.). 2001. The private industry speaks: Investing in sustainable forest management. CIFOR, Bogor, Indonesia. TOMASELLI, I. 2002. Tendencias y Perspectivas del Sector Forestal en la América Latina. Santiago, Chile. TUOTO, M. 2003. Croissance Notable Dans les Exportations de Bois Brésiliens. The ATIBT Newsletter, N. 18, Paris, France. TUOTO, M. 2003. Develop, Publish and Disseminate Information on Increasing Timber Processing and Utilization Efficiency and Reducing Waste – Study on Wood Waste Utilization in Brazil. Curitiba, Brazil, 2003. WBCSD (World Business Council for Sustainable Development) 1998. Discussion Paper on Sustainable Forest Management. STCP/INDUFOR. 2003. Benchmarking Analysis of Forest Based Operations Between Brazil and Finland. CuritibaBrazil/Helsinki-Finland. STCP. 2000. Plan Estratégico Para el Desarrollo del Sector Forestal de Bolivia. Curitiba-Brazil.
INTERNET SOURCES Autoridad Nacional del Ambiente – Panama www.anam.gob.pa Consejo Nacional del Ambiente – Peru www.conam.gob.pe Corporación Hondureña de Desarrollo Forestal http://cohdefor.hn European Forest Institute www.efi.fi/cis/english/publications.phtml Food and Agriculture Organization of the United Nations www.fao.org Forest Stewardship Council www.fscoax.org Instituto Brasileiro do Meio Ambiente e dos Recursos Naturais Renováveis www.ibama.gov.br Instituto Nacional de Recursos Naturales – Peru www.inrena.gob.pe International Wood Products Associations www.iwpawood.org International Tropical Timber Organization www.itto.or.jp Ministerio del Ambiente – Equador www.ambiente.gov.ec Ministerio del Ambiente y de los Recursos Naturales – Venezuela www.marnr.gov.ve Ministerio del Medio Ambiente – Colombia www.minambiente.gov.co
ANNEX
457
ANNEX 1. SURVEY RESULTS (Q500 QUESTIONNAIRES)
1.0
COMPANY BACKGROUND
1.1
Country of Origin Number of Returns per Country Latin America/Caribbean - No of companies 50 40
40
30 20 10 0
1.2
7
5
6
1
1
2
2
3
0
2
0
Ownership of Company Ownership by Type of Company Latin America/Caribbean - No of Companies 67
75 60 45 30 15 0
1
0 Goverment
Gov.-Private Sector joint Venture
1
0 Private Sector
CommunityOwned
Others
1.3 Sustainable Forest Practice Is Sustainable Forestry being practiced? Adoption of Sustainable Forestry Practice Latin America/Caribbean - No of companies 75
62
60 45 30 15
4
3
0 YES
NO
N.R
458
1.4 Integration with Industries If your concession is integrated, please indicate the type of mill. Integration with Industries Latin America/Caribbean - No of companies 50
44
40 30 20
9
10 0
8
6 2
Sawmill
Plywood
Sawmill/ Plywood
Others
N.R
1.5 Forest Concession What is the size of the concession? Average of Forest Area Latin America/Caribbean - 000 ha
Total Forest Area Latin America/Caribbean - 000 ha 90
6000 4887
68,37 60
4000
30
2000
9.98 299 0
0 Natural Forest
2.0
Plantation Forest
Natural Forest
Plantation Forest
STAFFING
2.1 Size Number of Staff and Workers America Latin/Caribbean 9000
Staff and Workers Average America Latin/Caribbean 8101
160 125 120
6000 80 3000
40
1331 311
0
Professional
20 5
0 Skilled Workers
Unskilled Workers
Distribution of Staff and Workers America Latin/Caribbean - %
Professional
Skilled Workers
Unskilled Workers
Distribution of Staff and Workers by Country America Latin/Caribbean - % 100%
80%
Professional 3%
Skilled Workers 14%
60%
40%
20%
Unskilled Workers 83%
0% Bol
Bra
Col
Ecu Professional
Gua
Guy
Hon
Skilled Workers
Pan
Per UnskilledWorkers
Sur
Tri
Ven
Average
459
2.2 Training If your company trains its own employees, indicate the type of training. Type of Training Offered Latin America/Caribbean - No of companies 60
51 39
45 30
30
1.5
8
6
0 Certificate Level
Short courses
Others
Hands-on
N.R
2.3 Company Facilities If your company provides welfare facilities, please indicate them. Compay Facilities Offered Latin America/Caribbean - No of companies
60 48 45
43 34
30
30 19
21
15
4
4 0 Housing
Health
School
Nursery
Water
Electricity
Others
N.R
2.4 Accidents How many accidents and mortalities were recorded in the following years? 3.0
PRODUCTION
3.1 Round Logs Please state the volume of round log production. Round Log Production Plantation Latin America-Caribbean - 000 cum
Round Log Production Natural Forest Latin America-Caribbean - 000 cum 1600
1493
1493
150
124 98
1200
100
800 50 400 0
0 1999
2000
1999
Round Log Production Average - Natural Forest Latin America-Caribbean - 000 cum 45
Round Log Production Average - Plantation Latin America-Caribbean - 000 cum 17,79
20 29,72
29,86
30
2000
15
14,02
10 15
5
0
5 1999
2000
1999
2000
460
3.2 Processed Wood Products Please state the volume of processed wood products if any. Processed Wood Products Sawn Timber Latin America-Caribean - 000 cum 450
Processed Wood Products Veneer Latin America-Caribean - 000 cum 60
421
51
389
45
300
40
150
20 0
0 1999
2000
1999
Processed Wood Products Plywood Latin America-Caribean - 000 cum 320
2000
Processed Wood Products Others Latin America-Caribean - 000 cum 120
204
240 190
82
81
1999
2000
80
160 40
80 0
0 1999
2000
Processed Wood Products Average - Veneer
Processed Wood Products Average - Sawn Timber Latin America-Caribean - 000 cum 20
Latin America-Caribean - 000 cum 10 7.27
10.28 10
9.27 3.95
5
0
0 1999
2000
1999
Processed Wood Products Average - Plywood
2000
Processed Wood Products Average - Others Latin America-Caribean - 000 cum
Latin America-Caribean - 000 cum 10
30 19.27
21.29
20
5.12
4.74
1999
2000
5 10 0
0 1999
2000
461
3.3 Non-Wood Products If your company also produces non-wood products, please state them. Non-Wood Products
Producers of non-Wood Products by Type
Latin America/Caribbean - No of companies
Latin America/Caribbean - %
55
60
Medicinal 25%
50 40 30 14
20
Fruit and Nuts 20%
0 Producer
Others 50%
Bamboo 5%
Non-producer
3.4 Services If your company provides services in your concession, please specify. Provision of Services Latin America/Caribbean - No of companies 45 29
27
30
25
23
20
15 9
8
4
0 REC
4.0
CON
CS
WR
PT
EDC
OTH
NONE
FOREST MANAGEMENT
4.1 Planning Do you have a Management Plan? Management Plan Latin America/Caribbean - No of companies 80 65 60 40 20 2
2
0 YES
NO
N.R
Is the plan consistent with the ITTO guidelines for the Sustainable Management of Natural Tropical Forests and the ITTO guidelines for the Conservation of Biological Diversity in Tropical Production forests?
462
Consisted with ITTO Guidelines Latin America/Caribbean - No of companies 45
37 28
30
15 4
0 0 YES
NO
UNKNOWN
N.R
4.2 Forest Types Please indicate the area of different forest types within the concession. Forest Types Latin America/Caribbean - 000 ha 3000 2383 2000 1494 1000 291 153
0.5
S/W
MAN
160
65
0 TRF
SEF
DF
FP
OTH
4.3 Management Systems Please indicate the broad management system you practiced. Management System
Latin America/Caribbean - No of companies 50
45
40 27
30 20 10
8
5
6 2
0
COP
C&S
10 3
0 CF
ST
SW
SEL
ADH
OTH
N.R
4.4 Controls Are there Minimum Acceptable Standards (Criteria & Indicators) followed in the management of the different forest types?
463
Minimum Acceptable Standards Followed Latin America/Caribbean - No of companies 60
52
40 20 8
9
NO
N.R.
0 YES
Is the Annual Allowable Cut prescribed for the different forest types, based on inventory information? Annual Allowable Cut Based on Inventory Latin America/Caribbean - No of companies 57
60 40
20 10
2 0 YES
NO
N.R.
4.5 Logging Is there a Harvesting Plan? Harvesting Plan Latin America/Caribbean - No of companies 57
60
40
20
9 3
0 YES
NO
N.R.
Indicate the type of harvesting system practiced. Type of Harvesting Practised Latin America/Caribbean - No of companies 60
56
40 20 4
0
1
10
0 Tractor Yarding
High Lead Yarding
Skyline Yarding
Others
N.R.
464
Are the following operations undertaken? Operations Undertaken Latin America/Caribbean - No of companies 80 62
60
59
55
60 40 20 0 Pre-harvest inventory
Road planning
Provision for stream buffers
Directional felling
4.6 Silviculture Is post-harvest regeneration survey conducted? Post-Harvest Regeneration Survey Conducted Latin America/Caribbean - No of companies 50
41
40 30
21
20
7
10 0 YES
NO
N.R.
Regeneration system practiced. Regeneration System Practiced Latin America/Caribbean - No of companies 53
60 45 30
14
17
15 0
0 Natural Regeneration
Enrichment Planting
Replanting
Others
If you conduct other silvicultural treatments please indicate. Other Silvicultural Treatments Conducted Latin America/Caribbean - No of companies 45 36 26
30
15
9 3
0 Climber Cutting
Cleaning
Tree Girdling
Others
465
4.7 Biodiversity Conservation Are there areas reserved for protection or conservation? Areas Reserved for Protection or Conservation Latin America/Caribbean - No of companies 80
60
60 40 30
3
6
NO
N.R.
0 YES
Are there endangered species in your concession? Endangered Species in Consession Latin America/Caribbean - No of companies 45 30
29
30
15
10
0 YES
NO
N.R.
Is shooting and hunting allowed? Shooting and Hunting Allowed
Latin America/Caribbean - No of companies 80 60 60 40 20
3
6
0 YES
NO
N.R.
466
4.8 Social Issues Are there local communities living inside/around your concession? Local Communities Living/Around the Concession
Latin America/Caribbean - No of companies 60 45
44 22
30 15
3
0 YES
NO
N.R.
Do they practice shifting cultivation? Shifting Cultivation Latin America/Caribbean - No of companies 40
34
30 20
17
17
10 0 YES
NO
N.R.
Are they allowed to hunt, fish or gather firewood for their own consumption/use? Shifting Cultivation Latin America/Caribbean - No of companies 40 34 30 20
17
17
0 YES
NO
N.R.
Are they employed by your company? Employed by the company Latin America/Caribbean - No of companies 40
34
30 19
20
15
10 0 YES
NO
N.A
467
4.9 Security & Enforcement Are there court cases involving violations of forest law in 1999 and 2000?
Court Cases Involving Violations of Forest Laws in 1999 and 2000 Latin America/Caribbean - No of companies 56
60 45 30 15
7
6
0 YES
5.0
NO
N.R.
RESEARCH AND DEVELOPMENT
5.1 R&D Activities Do you undertake and R&D activities? Undertake any Research & Development Activity Latin America/Caribbean - No of companies 40
35 24
30 20
10
10 0 YES
NO
N.R.
Are there any projects conducted with external funding? Projects Conducted with External Funding Latin America/Caribbean - No of companies 45
39
30 20 10
15 0 YES
NO
N.R.
468
5.2 Forest Certification Is the concession certified? Concession Forest Certification Latin America/Caribbean - No of companies 60
54
40 20
13 2
0 YES
NO
N.R.
If not, do you intend to undertake forest certification? Intend to Undertake Forest Certification Latin America/Caribbean - No of companies 60 43 40 14
20 4 0 YES
NO
N.R.
469
ANNEX 2. Q20 QUESTIONNAIRE (PORTUEGESE VERSION) QUESTIONÁRIO Q20 Roteiro de Avaliação – Elementos para Compatibilização Internacional dasAvaliações das Empresas Selecionadas Informações Gerais da Empresa • Identificação da empresa: nome, localização, proprietário, etc. • Objetivos, metas e diretrizes da empresa. • Detalhes estruturais: tipo e tamanho das atividades, integração entre as atividades (por exemplo: entre produção da matéria-prima, processamento e marketing); faturamento; investimento em capital e outros assuntos relevantes. • Breve histórico da empresa: como e quando iniciaram as atividades; mudanças na estrutura e estágios de desenvolvimento; fatores que facilitaram o desenvolvimento. Recursos Florestais • Fatores de localização; tipo e extensão dos recursos florestais; volume e valor do estoque; IMA; valoração das florestas; características ecológicas. Manejo Florestal • Plano de Manejo: horizonte do plano; ciclo de revisão do plano; etc. • Requisitos mínimos e critérios e indicadores para o manejo florestal sustentado. • Sistemas de manejo florestal (por exemplo: seleção, sistema de cobertura – ‘shelterwood’, corte-raso, talhadia/rebrota – ‘coppice’) e prescrições técnicas relacionadas (para as diferentes categorias de recursos) e intervenções do manejo; monitoramento do crescimento e produtividade das florestas. • Freqüência do manejo, corte anual permitido (exploração), controles de exploração (por exemplo: número de árvores autorizadas para corte). • Inventário de regeneração após exploração e operações relacionadas (por exemplo: enriquecimento); manutenção, limpeza e operações de sanidade (por exemplo: redução de material combustível, melhoria da derrubada). • Medidas de proteção florestal: proteção contra incêndios, pragas e doenças, atividades ilegais, desmatamento e degradação da terra; manutenção dos limites da floresta. • Sistema de informação de manejo florestal; manutenção dos registros de manejo, mapas. Exploração e Produção Primária • Volume explorado – nível atual e histórico; aspectos de qualidade/quantidade. • Plano de Exploração e nível de cumprimento. • Sistemas de exploração, ferramentas e técnicas de impacto (por exemplo: exploração de baixo impacto) e avaliação de impactos. • Resíduos de exploração; plano de utilização de resíduos. • Sistemas de transporte – rodoviário; hidroviário; armazenamento e perdas de transporte. • Uso/ utilização/ alocação dos produtos oriundos da exploração – venda/ exportação de toras; processamento em indústrias integradas. Indústria • Categoria de indústrias; fonte de suprimento; nível de utilização de matéria-prima produzida a partir de fonte própria. • Tamanho das unidades de processamento e tecnologia em uso; eficiência do processamento. • Necessidade de mudanças estruturais proporcionais às mudanças/adequações no suprimento e necessidades de mercado, quantitativamente e qualitativamente.
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Mercado e Marketing • Mercado local, nacional e internacional, quantidade envolvida para os diferentes produtos (primários e industrializados). • Custo da tora e de produtos florestais primários usado para processamento em operações integradas. • Tendências de preços para produtos florestais industrializados e fatores de influência. • Taxas, impostos, controles de venda; forma de atuação frente a grandes competidores. Estrutura Institucional da Empresa • Tamanho da empresa (por exemplo: pequena, média, grande). • Detalhes da estrutura (por exemplo: operação integrada, parte ou subsidiária de um grande grupo ou conglomerado, conexões com outras empresas, políticas internas e relações públicas). • Desenvolvimento de recursos humanos: ética no trabalho; distribuição de pessoal por habilidades; categorias profissionais; facilidade de ascensão na carreira; incentivos (por exemplo: bônus, aposentadoria); bem-estar da equipe de trabalho; índice de acidentes. • Pesquisa e desenvolvimento: investimento em desenvolvimento de tecnologias; disponibilidade de meios para pesquisa; política de aquisição de tecnologias. • Finanças: estrutura financeira; natureza dos acionistas (por exemplo: aberta aos empregados e comunidades locais); pontos fortes e fraquezas da admiistração financeira da empresa e seu impacto na sustentabilidade do recurso florestal. • Comprometimento com acordos globais, políticas nacionais e leis. • Situação com relação à “certificação” (do manejo sustentável dos recursos florestais); outras regulamentos/ controles. • Capacidade do governo para forçar políticas e regulamentos relacionados ao manejo florestal sustentado. • Existência de algum sistema de auditoria social ou monitoramento e avaliação participativa. Contribuição Sócio-Econômica • Benefícios sociais gerados pela empresa: empregos gerados na localidade (diretos e indiretos); oportunidades de geração de renda fora da fazenda; melhoramento da infra-estrutura (estradas, eletricidade etc.); outros benefícios sociais (escolas, hospitais, etc.); desenvolvimento de tecnologia. • Custos sociais: poluição, desmatamento, degradação do solo, impactos culturais. • Contribuição ao PIB nacional e geográfico; performance econômica da empresas nos últimos 5 a 10 anos. Conservação do Meio Ambiente • Política da empresa, plano e ações de conservação ambiental, atendimento aos padrões e prescrições ambientais (por exemplo: preparação do solo sem a utilização de fogo); porcentagem dos gastos da empresa destinados a conservação ambiental. Conclusões • Sumário de pontos fortes e fraquezas, lições aprendidas com a experiência, cenário futuro do ponto de vista do manejo florestal sustentável e sugestões para melhorias.
