Front Cover
 Title Page
 Table of Contents
 Deforestation and natural reesource...
 Causes of deforestation and the...
 The development task
 A.I.D.'s role in addressing the...
 Program development in forestry...
 An A.I.D strategy for the...

Group Title: Development assistance in forestry : an A.I.D. policy background paper
Title: Development assistance in forestry
Full Citation
Permanent Link: http://ufdc.ufl.edu/UF00086811/00001
 Material Information
Title: Development assistance in forestry an A.I.D. policy background paper
Physical Description: ii, 50 p. : ; 28 cm.
Language: English
Creator: Simmons, Emmy
United States -- Agency for International Development
Publisher: AID
Place of Publication: Washington D.C
Publication Date: 1980
Subject: Deforestation   ( nal )
Forest and forestry -- Economic aspects   ( nal )
Genre: international intergovernmental publication   ( marcgt )
bibliography   ( marcgt )
non-fiction   ( marcgt )
Bibliography: Includes bibliographical references.
Statement of Responsibility: prepared by Emmy Simmons.
General Note: July 1980.
 Record Information
Bibliographic ID: UF00086811
Volume ID: VID00001
Source Institution: University of Florida
Rights Management: All rights reserved by the source institution and holding location.
Resource Identifier: oclc - 08374303

Table of Contents
    Front Cover
        Front Cover
    Title Page
        Title Page
        Page i
    Table of Contents
        Page ii
    Deforestation and natural reesource degredation
        Page 1
        Page 2
        Page 3
        Page 4
    Causes of deforestation and the reduction of forest values
        Page 5
        Page 6
        Page 7
        Page 8
        Page 9
        Page 10
        Page 11
    The development task
        Page 12
        Page 13
    A.I.D.'s role in addressing the problem
        Page 14
        Page 15
        Page 16
        Page 17
    Program development in forestry and natural resources
        Page 18
        Page 19
        Page 20
        Page 21
        Page 22
        Page 23
        Page 24
        Page 25
        Page 26
        Page 27
        Page 28
        Page 29
        Page 30
        Page 31
        Page 32
        Page 33
        Page 34
    An A.I.D strategy for the 1980s
        Page 35
        Page 36
        Page 37
        Page 38
        Page 39
        Page 40
        Page 41
        Page 42
        Page 43
        Page 44
        Page 45
        Page 46
        Page 47
        Page 48
        Page 49
        Page 50
Full Text



July 1980
Agency for International Development
Washington, D.C. 20523

Development Assistance in Forestry

an A.I.D. Policy Background Paper

Prepared by

Emmy Simmons, PPC/PDPR/RD

with the assistance of

the Forest Resources Group

Michael Benge, Dan Deely, William Feldman, Patrick Fleuret,
Robert Ichord, Stephen Klein, Stephen Kinmer, Robert
MacAlister, Kevin Mullaly, Albert Printz, Jr., William
Roseborough, Jane Stanley, James Wunsch, Jeanne North

July, 1980

Agency for International Development
Washington, D.C. 20523


This discussion paper attempts to look at the problems of deforestation
from a variety of perspectives and to draw together some ideas on how A.I.D.
might better address them.

For readers already well versed in the growing literature on forestry
and related issues, the opening review of problems linked with deforestation
and natural resource degradation will be familiar. For readers just begin-
ning to think about these problems, the paper tries to:

develop a definition of "forestry issues"
underline the importance of forestry in the broader context of
natural resource use
sketch out the dimensions of the development task ahead.

After a brief discussion of A.I.D. mandates to address deforestation
and a short overview of current A.I.D. and other donor efforts in forestry,
the paper turns to the subject of A.I.D. program development. Examples of
past A.I.D. activities are incorporated into a general discussion of five
program areas to illustrate experience which may provide useful referents
for program development in other countries.

These elements formed the basis of the "Guidance on Forestry and
Related Issues" which was transmitted to the field in December, 1979. The
elements were identified in initial meetings of an ad hoc forestry subgroup
of the Committee on Environment and Development (COED) and included in an
earlier draft of this paper. It is expected that as Missions and host
governments consider possible approaches and the issues involved, further
modifications will lead to a strategy--or perhaps a whole array of country
strategies--which will be both workable and effective.



I. Deforestation and Natural Resource Degradation . 1

II. Causes of Deforestation and the Reduction of Forest Values 5

A. Land Use Changes . . . . . 6

B. Land Use Sustainability. . . .. . 7

(1) Fuelwood Collection . . . . 8
(2) Shifting Cultivation. . . ... 9
(3) Pasture and Timber Harvesting . . .. 10
(4) Commercial Timber Harvesting. . . ... 10

C. Resource Value Trade-Offs. . . . ... 12

III. The Development Task. ......... . ....... 12

IV. A.I.D.'s Role in Addressing the Problem . . . 14

V. Program Development in Forestry and Natural Resources . 18

A. Analysis, Planning and Policy Formulation . ... 20

B. Institution Building. . .. . . 23

C. Integrated Agroforestry and Rural Development . 26

D. Afforestation and Reforestation . . ... 28

E. Alternative Energy Sources. . ... . .. 34

VI. An A.I.D. Strategy for the 1980's . . . 35

A. Objectives. . . . . . 36

B. Priorities. . .. . . . 43

C. Appropriate Timeframes. . . . . ... 45

D. Resources . . . ... ...... 46

- ii -

I. Deforestation and Natural Resource Degradation

World-wide attention has been drawn to the critical fuelwood shortages

and desertification in the Sahel region of Africa and to massive deteriora-

tion of the natural ecosystem in Haiti. Deforestation in Panama's water-

sheds threatens the operation of the Canal; excessive sedimention reduces

the capacity of the lakes needed to store the 52 million gallons of fresh

water released with each ship's passage through the Canal. Seasonal flood

losses of water through the spillway and low flows in the dry season are

also accentuated as forests are burned for cultivation or pastureland.

Asia's forest-covered areas are declining with unexpected rapidity.

The "Global 2000" Report to the President concludes, "Of all the

environmental impacts of the study projections, deforestation probably poses

the most serious problems for the world, particularly for the developing

world."1 The International Development Research Centre concurs and adds an

urgent time dimension, "It has been predicted that within the next 25 to 30

years most of the humid tropical forest as we know it, will be transformed

into unproductive land, and the deterioration of the savanna into desert

will continue at ever-increasing speed."2 Accelerated deforestation is

rapidly depriving the world of resources needed to meet basic human

needs--food, fuel, and shelter.

1As quoted in the November, 1979, draft of the U.S. Interagency Task Force
Report to the President on the World's Tropical Forests: A U.S. Policy,
Strategy, and Program, p. 2.

2J.G. Bene, et al., Trees, Food, and People: Land Management in the
Tropics, IDRC-084c, p. 9.


Between 1950 and 1973, the earth's total forest area was reduced from

nearly five billion hectares to just under three billion hectares. At the

rate of deforestation implied by these figures, virtually all forest area

would disappear in 27 years. Current estimates of present use rates

diminish somewhat the spectre of a treeless future; forest area reduction is

now considerably less, but still close to 20 million hectares annually--

mostly in the tropical regions of the world.3

Forested acreage is not evenly distributed or equally productive across

continents, however, so such global estimates need to be applied with

caution. In Latin America, 38 percent of the total land area is in closed

forest;4 in Africa, 8 percent; in Asia and the Pacific, 38 percent. In

Latin America, closed forests are estimated to contain 136 cubic meters of

growing stock per hectare; in Africa, 228 cubic meters; and in Asia-Pacific,

only 89 cubic meters. Thus, Latin American closed forests contain about 55

percent of the volume of wood produced in these closed forests and wood-

lands5 removed every year. African closed forests and woodlands account

for approximately 30 percent of the growing stock, with 0.5 percent of the

wood removed each year. For Asia, the comparable figures are 15 and 1.4

3As presented by G. Barney at the U.S. Strategy Conference on Tropical
Deforestation, AID/State, June 12-14, 1978, pp. 16, 17.

4That is, those forests formed by trees at least five meters tall with
their crowns interlocking (UNESCO classification).

5"Woodlands" are defined as consisting of trees at least five meters tall,
with crowns not usually touching, but with ground coverage of at least 40

- 3-

percent per year. Similar variations among countries, of course, lie behind

these continental aggregates.6

Most indicative statistics focus on tree loss which is visible and can

be evaluated in economic, usually commercial, terms. But other values are

also lost as forests and woodlands are cut over. Forest resources not only

provide direct products--food, fuel, and forage--but also play critical

roles in soil stabilization and the maintenance of soil fertility, water-

sheds, and wildlife habitats. A variety of natural resource problems are

thus inextricably linked to the process of tree removal.

The cumulative impact of these problems is so widely dispersed over

space and time that complete quantification of the costs and benefits of

forest loss is impossible. The protection of the headwaters of five major

rivers by the forests of Madhya Pradesh in India, for example, affects the

well-being of water users hundreds of miles from the source. Similarly, the

value of protective forests as a store of genetic diversity may only be

realized by people over a period of centuries.

Dr. Norman Myers of the Natural Resources Defense Council in Nairobi

6Summarized from S.L. Pringle, "Quantity and Quality of the Tropical
Forests," Conference on Improved Utilization of Tropical Forests, May 21-26,
1978, pp. 11-15.


summarized the importance of tropical forests for temperate zone nations:

"First of all, there is the climatic question...far more light and
heat are reflected from deforested areas than from areas where
there is a large mass of vegetation to absorb light coming from
the sun. There is also the particulate matter in the atmosphere
resulting from large-scale burning...as a result of massive
deforestation in the tropics, there could be a decline in
precipitation in the grain-growing belt of the United States...
(and) the United States might find itself with too little rather
than too much food in an increasingly hungry world...(with)
far-reaching implications...in the areas of foreign policy and
national security...

Secondly, (there is)...the problem of disappearing species...It
has been noted that the United States is dependent on germ plasm
from tropical moist forests to maintain the productivity of its
food crops...The National Cancer Institute at Beltsville,
Maryland, has stated that if tropical forests are widely
eliminated within the foreseeable future, this would cause a major
setback to the anti-cancer campaign because so many new drugs are
being developed from plants of tropical moist forests...7

It is clear that "deforestation" is a development problem which extends

far beyond the loss of tropical rainforests. Forests, woodlands, and

grasslands provide essential food, forage, fuel, and shelter, a wide range

of commercially valuable products, employment opportunities, and environ-

mental benefits. These resources are also a vast reserve for current and

future generations--a reserve that is being jeopardized in many parts of the

world by the proliferation of unsustainable patterns of use and an

allocation of scarce development resources which is both inadequate and

inappropriate to address the deep-rooted causes of deforestation.

7Speech at the U.S. Strategy Conference on Tropical Deforestation,
AID/State, June, 1978, pp. 20, 21 in Proceedings.


II. Causes of Deforestation and the Reduction of Forest Values

The vast majority of trees and woody shrubs are deliberately cut and

removed by an increasing number of people for many reasons--heating and

cooking, fiber for textiles, house construction materials, sawnwood or wood

chips for export, pulp for paper, or, most importantly, to gain space for

planting crops and growing food. The shrub8 and savanna grasslands9 which

characterize the "forests" of the semi-arid tropics are, it is true,

severely affected by drought--but evidence shows that people and their

livestock often magnify drought damage and reduce the capacity of grasslands

to regenerate when rains return. People--acting in their own interests but

within the constraints set by natural systems and economic patterns--

determine the rate and scope of deforestation and savanna deterioration

through their use (and perhaps overuse and misuse) of trees, shrubs, and the

lands on which these grow.

By bringing about various land use changes and establishing various

land use patterns, people affect the way in which resource value trade-offs

are made. Consideration of these three factors provides a framework for

more in-depth discussion of the cause of tree loss and natural resource


8That is, with woody shrubs 0.5 to 5 meters tall, either open shrub land
or closed thickets.

9Treed savannas are those grasslands with 10-40% cover of trees.


A. Land Use Changes

People's use of forest land ranges from the most extensive mode of

utilization (hunting and gathering with little modification of the original

tree and shrub cover) to very intensive uses (such as permanent agriculture

and urban development). The most intensive uses of land so completely

transform the original forest or vegetation cover that it bears no

resemblance to the appearance of the original.

Neither the most intensive conversion of land from forest to non-forest

uses nor the modification of surface vegetation to include non-forest as

well as forest activities necessarily implies that such modification will

lead to degradation and depletion of the natural resource base. The basic

determinant is the type of ecosystem and the carrying capacity of that

system. Some systems are more amenable to change than others; some can

sustain intensive utilization, some cannot.

When people change the use of ecosystems in non-sustainable ways, i.e.,

by overstocking given areas of grassland, by applying modes of cultivation

which accelerate soil erosion and water run-off, by harvesting fuelwood at

rates greater than natural regeneration or replanting are taking place, and

so forth, then the cycle of natural resource deterioration often associated

with deforestation is set in motion.

- 7 -

B. Land Use Sustainability

Forests are often described as a "renewable resource." This appel-

lation is given to forests in part because of their readily observable

ability in temperate climates to regenerate themselves after being greatly

modified by human use (as by timber harvesting) as well as because of their

ability to "reappear" as if by magic through the natural process of plant

succession even when they have been completely removed (as when old-field

forest succession colonizes and takes over abandoned agricultural land).

Often, however, trees and woody shrubs are removed from marginal or

fragile tropical lands which cannot be maintained in continuously pro-

ductive--sustainable--use without substantial applications of social,

institutional, administrative, and technological inputs. The combination of

tropical soils, increasing populations, and the greater need for investments

of all kinds acts together to make successful development of marginal and

fragile lands for intensive human uses a difficult undertaking.

In many instances, basic knowledge for ecosystem regeneration is

lacking and the substantial economic resources needed are not available.

Thus, the tendency in natural resource and agricultural development efforts

has been to direct the most available resources to the most fertile and more

reproductive areas about which there is greater knowledge rather than to

these marginal lands. Yet, paradoxically, people with little social,

cultural, or economic standing, and thus least access to the needed


resources, are most often forced to subsist on marginal and fragile lands.

They cannot afford to maintain them and so further compound and exacerbate

the problem begun when the original forest and vegetation cover is removed.

Four forest resource uses are often cited as initiating unsustainable

use patterns: fuelwood collection, shifting cultivation, pasture and forage

production and commercial timber harvesting.

(1) Fuelwood Collection

The fuelwood aspect of the deforestation process provides particularly

dramatic insight into the depletion associated with unsustainable resource

use patterns:

Fuelwood removals make up more than 80 percent of all
tropical wood utilization Fuelwood, and even its common
derivative, charcoal, is bulky relative to its value and
thus expensive to transport. This, plus the fact that
trees of almost any species are acceptable, has led to
repeated removal of woody growth on lands near population
centers. 10

When people continue to use woody vegetation for cooking fuel and

population growth increases their demand for fuelwood beyond naturally

regenerated supplies, fuelwood shortages are a likely, if not inevitable,

consequence. The causes of the fuelwood situation can also be related to:

(1) the manner in which harvesting is done; (2) the demand for fuel

exceeding the productive capacity of the woodlands under a given form of

management, with demand due perhaps to rapid population growth alone but

10November, 1979, draft of the U.S. Interagency Task Force Report on the
World's Tropical Forests, pp. 26, 27.


perhaps due to other factors as well--inefficient cooking technologies, for

example; or (3) the lack of available alternatives for increasing supply or

switching to the use of fuel substitutes.

In any case, if soil deterioration begins to occur with depletion of

the woodland fuelwood supply, the deterioration may speed the further reduc-

tion of supply. This vicious cycle may lead ultimately to failure to meet

cooking needs--even at a minimum subsistence level; to cutting back on

heating--with adverse health consequences in low-temperature situations; and

to switching from fuelwood and charcoal to crop residues and dried dung as

alternative fuel sources--with consequences for further declines in soil

fertility and reductions in output of food crops. In short, unsustainable

harvesting of fuelwood can make it difficult for the poor to meet their

basis needs.

(2) Shifting Cultivation

Sustainable resource use patterns can prevent such downward spirals

from starting. Sustainability implies that a continuous stream of positive

benefits is available to the users. Even shifting cultivation can be a

sustainable agricultural system when land is abundant and periods of fallow

are adequate. Under such conditions, farmers can allow a secondary forest

community to be reestablished after cropping and thus to restore the

nutrient status and structure of the soil.

Unsustainable shifting cultivation occurs when the fallow period is

reduced or the length of the cropping cycle is over-extended. This may

- 10 -

come about because of population pressure and people's needs for food and

forage or perhaps simply as a result of poor management. Under such

conditions, leaching causes removal of soil nutrients from the surface

layers, soil structure begins to break down, reducing water infiltration

capacity and increasing runoff and erosion, and tenacious weeds and crop

pests and diseases become more intense, further decreasing crop yields. If

this process of deterioration goes sufficiently far, the land will

eventually become uncultivable and completely unproductive.

(3) Pasture and Forage Production

A soil depletion syndrome similar to that associated with shifting

cultivation can also occur when livestock owners transform forest areas to

pasture or forage production in areas where rainfall is high. Some of the

signs of deterioration may not be so apparent, but experience is showing

that tropical soil nutrient status cannot be maintained under continuous

grazing or forage production without application of fertilizer or periodic

return to fallow.

(4) Commercial Timber Harvesting

Commercial timber harvesting, when carried out under sustained yield

management conditions, results in only a temporary local depletion of

standing timber volume. Planned regrowth and regeneration balance the loss

overall. Commercial timber harvesting conducted in an unsustainable manner,

however, can result not only in long-term depletion or reduction of standing

timber volume but also in reduced timber quality and value.

- 11 -

Even when commercial harvesting is badly done, it rarely results in the

complete removal of vegetative cover from the land, as is often the case

with shifting cultivation or pasture establishment. Logged-over forest

lands, therefore, may support a much modified or less valuable timber stand,

or, in some cases, a highly unproductive vegetation cover. The erosion and

leaching associated with timbering, however, may not be so excessive as

those associated with agricultural uses.

Construction of access roads and other transport systems into un-

developed forest areas, as for timber or mineral extraction, on the other

hand, often leads to additional planned or unplanned agricultural and

pastoral development. This is especially the case where population pressure

on existing cropland is severe and the demand for expansion land is strong.

Such new development is often carried out in an unsustainable manner;

critical soil and water resource damage and deterioration have resulted from

such land uses after tree harvesting. People who initiate unsustainable

land use patterns are often constrained by social, economic, and political

forces--particularly inequitable and insecure land tenure arrangements

exacerbated by a general scarcity of other needed inputs. Such causal

factors are difficult to analyze, but they will determine whether the uses

made of transformed or modified forest areas are sustainable in the long run

or not.

- 12 -

C. Resource Value Trade-Offs

Planned and unplanned uses of forest, woodlands, scrub, and savannas

always involve difficult trade-offs among the values which these natural

resources have to offer. The gain of some immediate benefits--timber,

fuelwood, space for planting food crops--must be balanced against the need

to maintain a reserve for future needs--soil fertility, genetic resources,

water quality and quantity, ecological diversity, wildlife habitats, future

commercial development, tourism and recreation.

The causes of deforestation and natural resource degradation must be

analyzed within this framework of land use changes, land use sustainability,

and resource value trade-offs. Underlying causes (need for fuel, timber,

land for food and fodder) rather than symptoms of the problem (tree loss,

erosion, declining soil fertility) must be understood if appropriate and

effective solutions are to be devised. A careful assessment of empirical

situations on a case-by-case basis will be essential to insure that no

potential causal factor--and therefore, no potential remedy--is a priori

excluded from consideration.

III. The Development Task

A productive resource base will be maintained only by matching the

demand with the supply. Through technical inputs, it is possible to

increase supply to meet higher demand, but this creates disturbances within

- 13 -

the ecosystem. For example, an increased use of fertilizer may cause

eutrophication in streams and lakes which, in turn, may cause a decrease in

fish population due to diminished oxygen in the water.

A productive natural resource base will probably be best maintained by

a combination of approaches, among them:

protecting the forests and setting aside certain ecological
areas for protection of plant and animal species

ensuring that all harvest of fuel and timber is carried out
on a sustained yield basis--by planting, seeding, or natural
regeneration in combination with soil fertility maintenance
and water management

limiting but not stopping the clearing of forest cover for
conversion of forest lands to other uses

seeking to reforest, afforest, or encourage natural regene-
ration of lands not currently supporting any forest cover--to
help balance conversion and transformation losses that will
occur as forest lands are inevitably converted to other

Few countries have either the knowledge or the resources needed to

carry out such a wide-ranging program. Moreover, in designing program

interventions, the Agency and host country government colleagues are going

to be brought face to face with a number of hard political and economic

decisions involving precisely those value trade-offs which have been

described above. Natural resource degradation proceeds because people,

communities and nations follow the course of least resistance in meeting

their needs; to change that course will require major, long-term efforts on

the part of many donors and countries acting in concert.

- 14

IV. A.I.D.'s Role in Addressing the Problem

The Congress has given A.I.D. increasingly stronger mandates over the

past several years for involvement in forestry as a legitimate aspect of its

development assistance program. The 1979 amendments to the Foreign

Assistance Act provide the most specific Agency mandate for forestry project

assistance to date.

The 1979 amendments to Section 103(b) provide authorization for

bilateral assistance to deal explicitly with forest resource depletion and

associated soil and water resource deterioration:

The Congress recognizes that the accelerating loss of
forests and tree cover in developing countries under-
mines and offsets efforts to improve agricultural pro-
duction and nutrition and otherwise to meet the basic
human needs of the poor. Deforestation results in
increased flooding, reduction in water supply for
agricultural capacity, loss of firewood and needed wood
products, and loss of valuable plants and animals. In
order to maintain and increase forest resources, the
President is authorized to provide assistance under this
section for forestry projects which are essential to
fulfill the fundamental purposes of this section,
emphasis shall be given to community woodlots, agro-
forestry, protection of watershed forests, and more
effective forest management.

Moreover, A.I.D. is authorized in Sec. 118 to furnish assistance "for
developing and strengthening the capacity of less developed countries to
protect and manage their environment and natural resources" and in Sec. 119
to furnish assistance for programs of "small-scale, decentralized, renew-
able energy sources for rural areas", including research, and the develop-
ment, demonstration, and application of suitable energy technologies
(including use of wood); analysis of energy use, needs and resources;
training and institutional development; and scientific interchange.

- 15 -

The President directed in his Environmental Message of August, 1979,

that A.I.D. "....give high priority to programs which would advance these


necessary preservation of natural forest ecosystems and their
rich complexes of plant and animal life;

multiple uses of highly diverse tropical forest, including
management of natural stands, development of sociologically
sound forest plantations, and combined agriculture and

increasing yields in family-scale tropical agriculture to
relieve pressures on forest lands that are not suitable for

developing integrated projects for reforestation, more
efficient fuelwood use, and alternative energy sources."

A.I.D. has already begun to play a more positive role in dealing with

forestry and related natural resource issues along the lines advocated by

the President and Congress. The 1978 U.S. Strategy Conference on Tropical

Deforestation, which A.I.D. co-sponsored with the State Department, was a

first step. The Africa Bureau's 1978 conference on fuelwood generated

additional dialogue and furthered thinking and planning on key issues.

Other recent conferences carried the process further--the Africa Bureau's

energy conference in Paris in November, 1979; the Asia Bureau's conference

on energy, forestry, and the environment in Manila in November, 1979; an

A.I.D.-supported meeting in Costa Rica on forest sciences in tropical areas,

held in October, 1979; and the Peace Corps/A.I.D. conference on community

forestry held in Upper Volta in February 1980.


Two communications within A.I.D. have begun the intra-agency dialogue

necessary to formulate a reasoned policy and realistic program guidelines.

In September, 1979, the Assistant Administrator for Program
and Policy Coordination sent an airgram to all Missions on
"The Preservation of Forests." The airgram included a copy
of the Presidential directive noted above and an excerpt from
the report of the House Appropriations Committee on the FY
1980 Foreign Assistance Appropriations Act.

The Committee report urged the Agency to increase funding,
planning and staffing for assistance in addressing environ-
mental and natural resource problems. It asked all Missions
to undertake "environmental profiling"--a process involving
the gathering of information about resource problems and
trends, the initiation of a dialogue with host government
officials, and the formulation of strategies and projects to
respond to specific environmental and natural resource

In late December, a memorandum outlining "Guidance on
Forestry and Related Issues" was sent from AID/W to the
Missions. The guidance memorandum "constitutes one more step
towards the formulation of a clear strategy. It outlines
opportunities for Missions to examine the extent to which
deforestation and the loss of vegetative cover constitutes an
impediment to development, as well as the commitment of the
country to alleviating the causes and effects. (It is) a
request to Missions to start a dialogue with host governments
and other donors where this.has not been done and to build on
and expand activities which have already been initiated."

A.I.D. has, of course, not been alone in assuming a more positive

stance in addressing the worldwide problems of deforestation and natural

resource degradation. The FAO has traditionally played a leading role in the

provision of technical assistance for forestry and continues to do so, with

over 300 persons providing forest-related skills to developing countries.

The World Bank has put forth a strong Sector Policy Paper on Forestry and

followed up with increased lending to social forestry projects, including a

recent IDA loan to India for nearly $30 million. Canada's CIDA and IDRC

- 17 -

have published policy and background papers which support an increased level

of funding for "trees and people." The Swedish International Development

Authority supports several projects at FAO and has numerous bilateral pro-

jects as well. The United Kingdom also provides forestry expertise; the

Commonwealth Forestry Bureau at Oxford provides a principal source of

tropical forestry information in Forestry Abstracts. Other European donors

are also widely involved in forestry projects and tropical forestry

research. Most importantly, developing countries themselves are expressing

increased concern with deforestation and natural resource degradation and

are actively seeking ideas and funding to address the problems head-on. The

Jakarta Conference on Forestry was a recent forum for such issues.

Both governmental and private organizations in the U.S. have encouraged

A.I.D. to assume this positive role in dealing with forestry and related

problems and promised active collaboration and support of future A.I.D.

activities in developing countries. For example, increased Peace Corps

involvement with forestry efforts--community woodlots, testing of more

fuel-efficient technologies--provides an opportunity for A.I.D. to collabo-

rate in forestry at the "grass roots." Firm plans for collaboration in some

country activities are already moving ahead.

In short, A.I.D. has a wide-ranging mandate to provide substantial

support for forestry and natural resource-related initiatives in developing

countries in order to assist those countries to meet the basic human needs

of their populations. A.I.D. will have to overcome the constraints common

to new initiatives (funds, personnel, experience, and relevant technology)

- 18 -

in order to play this expanded role in the forestry area effectively. The

Agency will be able to draw upon its own experiences with prior forestry-

related efforts as well as those of other donors and voluntary agencies,

such as CARE and the Peace Corps, although much ground-breaking work still

remains to be done. In the next section, some of the possible program

activities and approaches which may be useful in taking the next steps are

suggested. It should be recognized that since energy, forestry and environ-

mental components of projects cannot be clearly separated, the pursuit of

many activities identified will be consistent with the high priority that

the Agency is also placing upon energy programs.

V. Program Development in Forestry and Natural Resources

Although A.I.D.'s experience has been scattered, there are a substan-

tial number of relevant projects for reference in planning and programming

forestry-related initiatives. Review of project impacts is still needed to

prepare the Agency adequately for more effective multi-donor and multi-

national efforts as well as to meet needs for planning bilateral assistance

efforts in the 1980's. It is clear, however, that local involvement and

local investment will be essential if serious efforts are contemplated.

A.I.D. programs in forestry and natural resource management, to be cost-

effective, will have to provide for substantial participation by the people

who currently use the trees. The term coined by the FAO--"forestry for

- 19 -

local community development"11 --and the concepts of "social forestry" are

likely to be increasingly useful in shaping A.I.D.'s efforts to address the

socio-economic and community aspects of the problems of deforestation.

Because of the diversity of problems, resources, awareness, and commit-

ments among developing countries, any one of several areas of activity may

be appropriate starting points for program development:

Analysis, planning and policy formulation (including
natural resource inventories and land-use assessments,
land capability classification, evaluation of tenure law
and its applications)

Institution-building for natural resource management and
conservation (including training, management systems,
and establishment of service support institutions)

Incorporation of forestry activities into agricultural
and rural development programs

Afforestation or reforestation, and protection of
natural and induced vegetation

Appropriate and alternative energy.

Some of the ideas and experiences which may be relevant to each of

these program areas are discussed briefly below. It should be kept in mind

that there are a number of means by which A.I.D. can provide such program


11Marilyn Hoskins' paper for AID on "Women in Forestry for Local Community
Development" provides practical guidance for using this approach. The
concept of FLCD and social forestry are also discussed in more detail below,
p. 33.

- 20 -

SCollaboration with other bilateral or multilateral

Provision of technical assistance directly to host
countries--with an emphasis on multidisciplinary teams

SCooperation with the Peace Corps and private voluntary
organizations or other intermediaries

SParticipation in consortia capable of sponsoring
regional approaches to natural resource management and

Provision of PL 480, Title II (Food for Work) and Title
III support.

Some implementation modes may be better-suited to certain areas of

activity; only further experience is likely to indicate which are most


A. Analysis, Planning, and Policy Formulation

The artificial bounds often set in the process of project development

and design may already have contributed to the magnitude of the problems of

deforestation and may well be too restrictive to permit A.I.D. and host

governments to implement effectively the kind of wide-ranging and farsighted

strategies needed to address them. By thinking of development as a series

of discrete events--"projects"--rather than as a continuous process, plan-

ners are often led to ignore the competition for scarce natural resources

engendered by even the most developmentally-oriented projects. The expan-

ion of Nepal's timber industry, for example, may have exacerbated that

country's soil erosion problem. In Brazil, the ecological balance of the

Amazon Basin has been undermined by the Trans-Amazon highway construction

- 21 -

and associated resettlement and range development projects--and no single

project can now be designed to restore that balance. Broader analysis and

improved planning are a prerequisite to overcoming project competition

likely to result in natural resource depletion. By developing "country

programs" and "sectoral strategies," a broader analytical framework can be

set up to consider resource value trade-offs explicitly.

A.I.D.'s approach to forestry problems can begin such conscious efforts

to surmount project bounds with analytical horizons expanded to suit the

long-term and ultimately large-scale processes of natural resource develop-

ment. The three-to-five year project planning frame must be widened to take

into account likely conditions ten or even twenty years in the future.

Knowing the rate of deforestation is essential12 --but it is not enough.

What is also needed is information on the productive capacity of national

systems, population growth, land use, food needs, energy alternatives,

economic and fiscal health of the country or area and a host of other

variables. Sound scientific knowledge is basic to the process of effective

policy and program formulation regarding natural resource development.

Sound understanding of the political, cultural and socio-economic conditions

regarding use of and access to natural resources is fundamental to acting on

the basis of the scientific knowledge.13

12And the opportunities to use remote sensing technologies to measure and
monitor rates of deforestation are growing. FAO has already taken steps;
AID has several projects in remote sensing for agriculture which are also

13See the recent Devres report for AID on "Socio-Economic Considerations
in Fuelwood Use".

- 22 -

A recently initiated project in Costa Rica illustrates an approach to

addressing natural resource problems by combining planning and analysis

tasks with institutional strengthening activities. The purpose of the

Natural Resources Conservation Project (No. 515-0145) is to strengthen the

institutional mechanisms through which Costa Rica manages renewable natural

resources. The components of this $9.8 million loan project will be:

policy analysis and research

pilot micro-watershed management

reforestation and cattle management improvement pilot projects

forestry production pilot scheme

resource management plans for five priority regions

development of conservation education in a national park.

This project is an interesting mixture of planning and program develop-

ment or analysis with field work (in the form of pilot projects). It is

supported by strong public commitment of the Costa Rican government to the

conservation of natural resources and the environment.

A.I.D.'s experience in Tunisia with a Watershed Planning and Marginal

Lands Project (No. 644-11-120-018), carried out between 1959 and 1967,

illustrates the limitations which are posed when the commitment of the host

country government to implementing scientific plans is not secured.

Twenty-nine person-years of technical assistance were provided between 1963

and 1967. Soils and range surveys were carried out and conservation plans

for the 157,000 hectare Oued Marguellil watershed in central Tunisia drawn

up. Yet the single achievement of the project appears to have been a series

of soil maps and an unimplemented watershed management plan.

- 23 -

B. Institution Building

Building and strengthening national and community institutions will be

as critical in addressing the problems of deforestation as it has been in

A.I.D.'s more traditional sectors. National forestry institutions are

generally charged with managing forest resources and both supporting and

regulating commercial forestry activities. Foresters prepare maps and

surveys of forested areas to locate commercial timber resources and draw up

exploitation plans for removal of salable timber, construct roads, manage

concessions, and improve extraction and processing methods. Their tasks

include efforts to achieve more homogeneous regrowth of cut-over land with a

greater volume of valuable of species. The growing dimensions of tropical

deforestation indicate that currently institutionalized efforts have been

insufficient if not unsuccessful.

The capacity of most traditional forestry institutions to address the

particular problems of fuelwood can, moreover, certainly be questioned.

Only a few countries have radically reorganized their forestry efforts to

deal specifically with such community-level use. Government foresters,

charged with protecting state forest reserves and supervising the commercial

concessions in most countries, continue, more often than not, to end up as

enemies of the rural communities and populations. Rural households have

thus continued to meet their needs for fuelwood while foresters have not

succeeded in protecting trees from fuelwood seekers--with the consequent

expansion of unsustainable wood use patterns. Reversing this trend will not

only be a matter of increased police action, but of increasing supplies and

alternative energy sources through participation of the fuelwood user

- 24 -

groups. It is likely that the current establishment of foresters will need

a radical reorientation in approaches to their current tasks--encouraging

community participation in regeneration efforts instead of simply policing

government plantations, for example--as well as expansions in their numbers

to permit them to take on the additional responsibilities implied. It may

be, too, that the administrative divisions between forestry, agriculture,

livestock and natural resources will need to be reconsidered if such

reorientation is to be successful.

Assisting developing countries to strengthen institutions for planning,

research, extension, and public education activities is also important.

This may require inputs of economists, sociologists, educators, extension

personnel and media-specialists--a whole range of traditionally "non-

forestry" expertise. The involvement of the Peace Corps, private voluntary

organizations, and scattered community development and agricultural exten-

sion personnel in community level forestry activities should continue to

provide a useful fund of experience and insight for institution-building at

this level.

In the longer term, staff development in A.I.D. itself will have to

reflect the wide range and special characteristics of institution-building

tasks regarding natural resource development--balancing the formation of

scientific research and communication management entities with the develop-

ment of increased extension and communication mechanisms to enhance local

participation in addressing the problems of deforestation. Continuity of

administrative and technical effort--in the form of project monitoring and

- 25 -

evaluation, as well as research and program development--will be essential

to efficient and intelligent use of resources for forestry assistance.

Both the Integrated Rural Development Project in Haiti (No. 521-0078)

and Costa Rica project already described provide examples of an institution-

building approach to natural resource conservation. The purpose of the

Haiti project is to develop and test an institutional system and capacity to

deliver resources and services to small farmers inhabiting four critical

watersheds. This $12 million project was initiated in 1977, but was

redesigned after further review in late 1979. The original project assumed

a greater existing institutional capacity to absorb the project than was in

fact the case, and the revision will involve a scaling-down.

The Niger Forestry and Land Use Planning Project (No. 683-0230) also

illustrates a major institution-building emphasis. The project will create

a central technical planning unit in the National Forest and Water Service,

the conduct of a natural resources inventory and yearly vegetation

monitoring program, and an education campaign on deforestation and forest

conservation (for government and the public alike) as well as the

preparation of a 20-year plan for rehabilitating the nation's natural

resource base.

Educational support for the development of a national cadre of

foresters is included in the Upper Volta Forestry Education and Development

Project (No. 686-0235). The $5.9 million grant project will seek to train

40 students per class in a two-year lower level forestry agent training

- 26 -

center by involving them in trials of forest management alternatives on

4,500 hectares of natural forests growing on shallow lateritic soils in the

Dinderosso Forest. This work will also provide a training opportunity in

the interaction with herders and farmers in the area.

C. Integrated Agroforestry and Rural Development

The simultaneous or sequential growing of trees with agricultural crops

is called agroforestry (or agrisilviculture). The techniques of agro-

forestry were developed through the attempts of foresters in Asia to grow

greater concentrations of commercial timber than occurred in the natural

forest. Cut-over or depleted natural forests were cleared and seedlings of

teak or other valuable species were planted. Local cultivators supplied the

labor and were allowed to farm the land until the canopy closed--two or

three years--in return for planting and caring for the seedlings. This was

the taungya system, devised to reconcile the interests of foresters and

shifting cultivators.14

The emphasis in agroforestry has recently shifted from the production

of valuable hardwood species in combination with controlled crop cultivation

to the intensification and stabilization of agricultural land use under

cultivation by enriching the fallow with the use of leguminous species such

14Shifting cultivators, under normal conditions, of course, practice a
sort of agroforestry by pollarding--that is, cutting off side limbs to
reduce shade--rather than felling certain trees and by stimulating the
growth of other species through burning in preparation for cultivation.

- 27 -

as Leucaena.15 This shift in emphasis to the development of sustainable

land use management reflects a concern for the subsistence needs of small

farmers under increasing population pressures. Many new types of trees,

additional values of trees (nitrogen fixation, for example) and permanent

combinations of trees and food crops are now considered so that increased

yields of food, fuel, fodder for livestock, and materials for shelter

essential to meet basic human needs are possible.

Given the cultural variety and wide range of ecological conditions of

developing countries, however, diversity will continue to be the hallmark of

agroforestry. The likelihood of a replicable panacea--such as a particular

combination of trees and crops--is low. It is probably neither realistic

nor useful to aspire to one or two "optimum" agroforestry combinations or to

harbor expectations of the kinds of universal innovations achieved in the

development of high yield varieties of corn, wheat, and rice. Agroforestry

poses a major challenge to applied research in both the agricultural and

silvicultural fields. Until recently research has emphasized the manipula-

tion of genetic material or ecological factors in order to overcome the

limitations of particular crops in achieving high-output and sustainable

systems of production. But the improvement of unique traditional patterns

of local crop and tree cultivation--possibly representing the most efficient

and ecologically sound use of resources--will require site-specific trials

with exotic as well as local species.

15Two publications funded by AID are particularly useful: Leucaena:
Promising Forage and Tree Crop for the Tropics (NAS, 1977) and Tropical
Legumes: Resources for the Future (NAS, 1979).

- 28 -

Since agroforestry merges the disciplines of ecology, agronomy, and

forestry with sociology, anthropology, economics, and development

administration, and because its advance will require investments in

small-scale field experimentation, unique problems are posed for development

assistance work. To date, A.I.D. has little experience in agroforestry per

se. A wide range of rural development and agricultural project experience,

however, is both relevant and useful. In particular, the farming systems

perspective currently being developed in agricultural research systems

around the world is likely to provide valuable insight for agroforestry


Although the A.I.D.-sponsored and CARE-implemented Acacia albida tree

planting project in Chad (677-0008) is often cited as a reforestation pro-

ject, it is likely that its agroforestry characteristics have contributed to

its success. In the drier areas of Africa in Sahel, the Acacia albida

epitomizes a tree that provides multiple benefits to rural welfare and

development: soil enrichment through nitrogen fixation, dry season browse

and pods for cattle feed, dry season shade but leaflessness in the growing

season (due to its deciduous nature during the rainy months). It is thus an

ideal tree for millet and sorghum fields, and much esteemed by local

farmers, who know its value.

D. Afforestation and Reforestation

Planting trees or shrubs in locations where tree cover has been removed

(reforestation) or in areas which have never been forested afforestationn)

can be done in large-scale plots with top-down planning and management and a

- 29 -

paid labor force, in small-scale efforts (fruit trees around a houseyard) by

individuals working on their own time, or at any scale in-between. Tree-

planting activities are probably those which spring to mind as a "forestry

project." It should, however, be emphasized that reforestation and affores-

tation are only one possible approach to addressing the problem of defores-


Large-scale plantations are often established over extensive surfaces

of government-owned lands and administered by forest service personnel.

This is not invariably the pattern; in Brazil, over one million hectares of

eucalyptus have been planted on private lands with the stimulus of govern-

ment subsidies.

There is a considerable body of information and experience in planta-

tion silviculture in developing countries, although it has been accumulated

mostly for climates with monsoonal rainfall regimes or a marked dry season

(India, Burma, sub-Saharan Africa). The economics of plantation tree

farming are amenable to conventional project analysis, although environ-

mental benefits or losses are still relatively difficult to evaluate. Still,

there are fewer unknowns in large-scale forestation than any other type of

activity considered in this paper.

Large plantations are viewed by some as the only way that developing

countries will be able to meet future wood needs on a predictable and sus-

tainable basis, even in regions that now have relatively high productivity

of plantations in suitable agro-climatic situations. Fast-growing species

- 30 -

are planted and all the trees are utilized so that plantations are up to

forty times more productive than natural forests.

The Asian Development Bank, for example, estimates that
reforestation in Asia must be expanded at a rate of 10
million hectares per year at an annual cost of $400-800
million in order to satisfy future needs and avoid a wood
deficit in 1990 on the order of 170 million cubic meters.

In the African Sahel, where there is already a critical wood
deficit, plantations should be established at the rate of
300,000 hectares per year to meet future needs. Currently,
however, costs far outrun available resources.

A.I.D.'s experience in Jamaica illustrates a large-scale forestry

approach. Six thousand hectares of fast-growing Caribbean pine (P. caribea)

were planted during the 1974-77 period on government land as a major part of

a $4.4 million Forestry Development Loan. The project was preceded by seven

years of forestry assistance from Canada and the U.K. as well as a UNDP/FAO

project on Forestry Development and Watershed Management in the Upland

Regions. The FAO project yielded 38 studies that helped to justify the

A.I.D. project and identify the critical areas for reforestation. This

background, together with a high level of government commitment and the

relative ease with which the Caribbean pine is grown, resulted in a

successful project.

A recently designed $1.6 million grant project for Gambia will

establish 1,300 hectares of Gmelina on government land. The selection of

Gmelina was backed by 30 years of trials begun by British foresters with

various species, including teak, eucalyptus, and Khaya spp. The plantation

is projected to average 15 to 20 cubic meters per hectare of annual wood

- 31 -

production and will help to supply urban fuelwood needs. Other project

components are training scholarships, village woodlots, and a feasibility

study for mangrove exploitation.

Barring innovative solutions to the problems of collective management,

experience indicates that the benefits of large-scale plantations in general

are likely to be limited to: employment in the plantations, a general

increase in the availability of wood for urban markets, decreased cutting

pressures on natural forests, and some measure of planned security as far as

future wood needs are concerned. Experience also indicates that problems of

policing are enormous, especially where land pressure and demand for fire-

wood are great, and that direct costs may, at least in the short run, out-

weigh direct benefits.

Small-scale forestation includes trees planted by communities or

individuals and grown as a crop in small plantations of a few hectares, in

small groups, or along the sides of roads, fences, houses, and irrigation

boundaries. In general, there are no inherent or insurmountable technical

obstacles to small-scale forestation. Species, planting techniques, nursery

design and the like are well tested and tried.

The benefits of small-scale efforts are substantial: local self-

sufficiency in fuelwood, the multiple benefits from planting, income-savings

from not having to purchase fuel, and time-savings from not having to gather

fuelwood at locations far removed from the community. The difficulties of

small-scale forestation are equally numerous: land may be in short supply

- 32 -

or legally constrained, working out protection mechanisms may be complex,

those doing the planting and protecting may not receive the benefits, and

those with knowledge of improved tree varieties and techniques of planting

may not be able to communicate effectively with individuals and communities.

The need for involvement of people with skills other than those tradi-

tionally provided by foresters is very clear.

Small-scale village or community plantations have been most notably

successful in the People's Republic of China, South Korea, and Gujarat State

in India. The Chinese and Korean examples lose some demonstration value in

nations without strong, not to say totalitarian, governments. The Gujarat

State experience, however, holds several lessons for small-scale forestry

interventions. Repeated failures to protect forests and to get large-scale

plantations going led in 1969 to the idea of "extension forestry" and a

group was started in the state forestry department. First, trees were

planted on state lands along roads and irrigation canals. Villagers were

allowed to cut grass between the trees in return for caring for the trees.

Next, free seedlings and advice were given to individuals. Bigger farmers

responded well, although small farmers did not. (Subsidies are now being

considered to foster plantings on eroded marginal portions of small farms.)

Third, village plantations were promoted, through dialogues between state

forestry representatives and village councils. The elements were:

four hectares of land set aside by the village for planting

seedlings provided by the state with wages for laborers

- 33 -

villagers' agreement to protect trees from pilfering and grazing
in return for harvesting of grass and fruits

on harvesting, equal division of trees between the state and
village council, with price controls applied to the products,
keeping them well below the market price and increasing
accessibility to the poor.

The FAO's elaboration of a "forestry for local community development"

approach generalizes on the Gujarat experience.16 FAO notes17 that several

elements appear to be relevant to the success of small-scale forestry with

community participation:

sustained technical support system

full range of development services, especially if part of a
watershed management effort

obvious and tangible benefits for the participating community

appropriate community organization for planning, work, benefit
allocation, and conflict resolution

strong commitment at higher government levels as well as at the
community level

perhaps profound changes in community attitudes and behavior
regarding trees and forests

perhaps profound changes in the attitudes of foresters regarding
people, and a radical reorientation of forest institutions, from
policy to technical functions.

A.I.D. has also undertaken small-scale forestry projects--so far only

in conjunction with larger plantation projects. In Jamaica, this effort was

16The Hoskins paper for AID gives other examples of forestry for local
community development approaches.

17In the 1978 publication, Forestry for Local Community Development, FAO
Forestry Paper No. 7, Rome.

- 34 -

not successful as the government was unable to recruit an "extension

forester." The Gambian project is just getting started, but there will be a

component which will seek to establish five ten-hectare village fuelwood

plantations of Gmelina and Azadirachta. Cashews, mangoes, and citrus trees

will also be offered. Motivation of the villagers to establish the planta-

tions is somewhat in doubt, as the expressed priority need was for agricul-

tural improvement, but a process to elicit the interest and involvement of

the villages has been built into the project.

E. Alternative Energy Sources

Fuelwood is the major source of domestic energy in most developing

countries and accounts for the vast majority of wood harvested. Rural

households tend to use wood itself while more urban households rely on

mixtures of charcoal and wood. The expanding circle of deforestation around

Ouagadougou in Upper Volta is perhaps the most dramatic and well-known

indicator of the urban demand for fuel.

The renewabilityy" of trees has often been mentioned as a key advantage

of forestry as a source of energy. The time needed for renewal is, however,

a major consideration in undertaking any interventions involving the plant-

ing of trees for fuelwood. Only exceptional trees on exceptional sites,

such as the Albizzia plantations in the Philippines, which are reported to

grow seven meters in one year, will produce benefits of such immediacy that

they can be adopted without major subsidies, guarantees, or coercion.

Measures with longer time delays are almost certain to require either some

35 -

form of subsidy--especially to cover the opportunity cost of the land

removed from cropping--or a companion development activity that compensates

for the time delay.

Thus the need to conserve current woodstock while beginning reforesta-

tion and afforestation efforts along the lines described above suggests that

attempts to improve the technology of alternative energy sources and to

develop alternative technologies for using traditional energy sources more

efficiently may be justified. The three-stone stove is an inefficient user

of firewood; alternative stove designs (e.g., the "Lorena" of Central

America) are felt to provide major firewood and charcoal savings potential.

Few, however, have been spontaneously adopted or become commercial successes

even where fuelwood is perceived to be in short supply.

Solar, hydroelectric, wind, and biogas generation are other potential

sources of alternative energy. Wider use of these technologies will depend

on the success of the further testing, adapting, and redesign necessary

before they can be more broadly considered as low-cost energy-saving alter-

natives to fuelwood. A.I.D. has a number of programs just starting in this

area, particularly in the Sahel. Most will be research/pilot efforts and

lessons learned are expected to provide valuable guidance in the future.

VI. An A.I.D. Strategy for the 1980's

This discussion paper has focused thus far on building the analytical

underpinnings for an A.I.D. strategy on forestry and other natural resource

issues. In sum:

- 36 -

The problem of deforestation is a serious one, needing
urgent attention.

Both technical and financial assistance are needed for
developing countries to undertake long-term and innova-
tive steps to address this problem.

A.I.D. has a broad mandate to provide such assistance, a
base of experience in natural resource management and
development, and a growing sense of approaches which
could be useful.

The impact of deforestation and natural resource degradation will fall

exceptionally hard upon the poor as fuelwood shortages threaten their

abilities to cook food and heat their homes. Further, the future for

increased agricultural productivity is jeopardized if continued impoverish-

ment of the natural resource base is unchecked in the next decade.

A.I.D.'s vision for the 1980's must encompass program and policy

options well beyond the narrow boundaries of tree planting. In this sec-

tion, the process of delineating an A.I.D. strategy which can effectively

deal with the broad range of problems associated with deforestation is

begun. Identifying means for incorporating short-term projects into the

long-term timeframe of forestry and marshalling the resources to accomplish

them are the tasks immediately facing the Agency.

A. Objectives

The nature of deforestation and related resource problems suggests that

a wide range of objectives and initiatives may be appropriate in different

circumstances. The process of goal specification in any given country may

be usefully considered by Missions as part of the ongoing CDSS process or as

37 -

a separate element of an "environmental profile." Based on discussions

above, five likely program objectives are suggested here and associated with

several possible program initiatives for purposes of illustration. Some

initiatives could support several of the listed objectives, of course. The

rough classification here reflects the usual goal-purpose distinction of the

logical framework and is intended to demonstrate activities providing

indirect as well as direct support.

Missions will also be able to define other objectives and initiatives

based on assessment of country circumstance and needs. The objectives

suggested here include: (1) raising the level of developing country aware-

ness; (2) supporting direct forest development activities; (3) reducing

pressures causing deforestation and natural resource degradation; (4)

increasing the efficiency of forest resource utilization; and (5) improving

institutional capabilities to manage natural resources.

1. Objective: To raise host government awareness of and commitment to

the problem of deforestation and natural resource degradation.

Help assess actual loss rates and analyze causes of defores-

tation to determine the magnitude and types of efforts


Develop a comprehensive capability to survey forest resources

and to monitor forest cover changes through both ground and

remote-sensing technologies.

Assess with the host government the economic consequences of

existing forestry-related practices and land-use patterns,

including the associated indirect costs of deforestation,

38 -

e.g., flooding, soil loss, siltation, disruption of

agricultural cycles, rising costs of fuelwood and other

forest products, and loss of medicinal trees, bushes and


Help develop a country strategy to deal systematically with

deforestation and associated forest land and resource use


2. Objective: To provide support for protection, regeneration, pro-

duction and restoration efforts.

Help identify, protect and manage critical catchments and water-

sheds, areas which contain representative genetic materials, and

unique or fragile environments.

Develop planting materials and technologies and train people for a

variety of forestry activities which can be locally initiated and

controlled: tree plantations, agroforestry, woodlots, and private

holding tree planting.

Assist in developing income generating programs for the rural poor

based upon managing and marketing forest products (plant and

animal) on a sustainable basis so that there is a local stake in

maintaining natural and planted forests.

Support efforts to learn and record local knowledge of plants and

animals and the scientific basis for indigenous resource


Initiate, support and expand existing programs of applied research

in agroforestry to identify, screen and evaluate trees and plants

- 39 -

which may be useful in solving problems of the rural poor. This

will include those species which are fast-growing, regenerate by

coppicing, and have multiple purposes (wood, forage, fertilizer

and soil fertility improvements) and complement food crops, as

well as those which provide other economic and environmental


Consider P.L. 480 Food for Work (Title II) and Food for Develop-

ment (Title III) to provide some of the commodity support and

local currencies needed to finance the substantial amounts of

labor that might be needed in any large-scale efforts to restore

degraded lands and watersheds.

Encourage governments to implement necessary socio-economic and

administrative changes, such as land tenure security, so that

greater local participation will be forthcoming.

3. Objective: To ease pressure on current use of forests and other

vegetation by developing renewable and alternative sources of energy and

appropriate, sustainable cropping systems for the rural poor.

SSupport village woodlots or urban tree plantations where there is

an active pattern of communal landholding or communal oversight of

activities. The necessity for involving the women of the

community (who usually gather and utilize the fuelwood) in the

identification, design, and implementation of such projects cannot

be overstressed.

- 40 -

. Increase productivity of currently cultivated land to reduce the

pressure for growing populations to use forest, savannas and

marginal lands for agricultural expansion. This approach needs

to be initiated with caution, looking at both the intrinsic

capability of the land to support intensified agricultural pro-

duction and the energy requirements (including fertilizers and

pesticides) to sustain it.

. Develop possible alternatives, especially those based on renewable

energy sources, as substitutes for fuelwood and charcoal. Also

consider the field testing of solar devices with potential for

drying grain, fish, and tobacco as well as more efficient low-

cost and socially-acceptable stoves and improved kilns for

charcoal production.

Utilize the concept of agroforestry for the simultaneous and

stabilized production of food, forage, and fuelwood, especially in

areas where shifting cultivation is practiced.

Evaluate possibilities for short-term subsidy programs for

alternative fuels, especially for poor consumers. Such programs

are, however, expensive and difficult to terminate.

Consider, if agroforestry is not appropriate, short-term supple-

mentary financing of commodity support to compensate owners for

the loss of productive assets. The time scale of forestry efforts

means that land which is replanted to trees is withdrawn from

other forms of cultivation for long periods of time.

- 41 -

4. Objective: To increase utilization efficiency of forest and other

natural resources through (1) technological improvements--in production,

extraction, processing and end use--and (2) more effective means of con-

trolling the use rates of existing resources.

Develop local capability to formulate solutions which are specific

to particular environments through long-term training at profes-

sional levels.

Provide short-term training programs in tree planting, propagation

and harvesting. A.I.D.'s policies focus on community level train-

ing and support of community level efforts through extension

services for forestry and for soil and water conservation.

Support public education on resource conservation to provide

stimuli for effective community or individual participation in

natural resource use through Forestry for Local Community

Development (FLCD) approaches and school or backyard tree


Consider small-scale or cottage industry development to utilize

"noncommercial" species of trees remaining after selective

harvesting for commerical purposes. This approach is limited and

must be coupled with appropriate reforestation and environmental

controls to ensure that such intensive use of the forest does not

create environmental problems of its own.

- 42 -

5. Objective: To assist governments to strengthen their institutional

capability to manage natural resources through improved planning and regula-

tion of lands for agriculture, energy and other uses at the farm, community

and regional levels.

Upgrade the effectiveness of host country forestry personnel to

manage existing reserves by providing appropriate training and


Provide technical assistance to host country agencies in analysis,

planning, legislation and policy formulation, and environmental

assessment activities.

Encourage and assist host governments to initiate regenerative

programs for lands which have deteriorated because of misuse.

Encourage and assist host governments to develop paraprofessional

personnel able to advise small and marginal farmers on maintenance

of existing tree crops and integration of tree and other crops in

economically viable cropping patterns.

Encourage and assist host governments to develop and utilize local

institutions to build community involvement and capacity for

improved resource planning and management.

Encourage and assist host governments to develop and utilize

regional institutions to strengthen planning and management of

natural resource systems (e.g., river basins or catchment areas).

While these objectives and initiatives focus on activities that might

be undertaken in recognition of an identified need, many traditional

development activities can lead to deforestation. Missions must, therefore,

43 -

ensure that A.I.D. activities do not cause unnecessary deforestation. The

environmental examination should carefully evaluate whether cleared lands

will sustain the intended uses. The activity should go forward only if

resource regeneration, or other sustainable use components, are incorporated

into the project.

B. Priorities

A.I.D. places its highest priority on assisting the poor in developing

countries to achieve their basic needs in a self-sustaining way. Where the

food and fuel needs of the poor are being threatened by deforestation and

natural resource degradation, interventions are needed which will alleviate

this threat. Where the poor in rural areas are clearly using resources in

unsustainable ways, interventions are needed which will increase their

capacity to implement sustainable modes of use (of land, trees, soil and


By examining all ongoing and proposed major projects (e.g., integrated

rural/agricultural development, irrigation, rural water supply, fish pond

development, range management in arid areas), A.I.D. Missions should be able

to ensure that appropriate forestry elements, such as erosion controls

(windbreaks and vegetative plantings), woodlots, watershed protection,

nurseries and training of personnel, are fully incorporated. This will

reduce the competition for funds--and the priority designation--which many

Missions already heavily committed to a wide range of development efforts

are likely to perceive. Such piggybacking also provides a mechanism for

relatively rapid start-up in addressing forestry concerns.

- 44 -

The priority which should be assigned to forestry activities in many

countries, however, may require that a range of specially-focused activities

be undertaken. Action projects, such as community fuelwood projects, range

improvement projects, and the like, will have to be complemented, or in some

cases, preceded, by significant efforts in institution-building and

research. Forestry service reorientation and expansion, as discussed above,

is likely to be a high priority on the institutional side. Research is

needed on social forestry, adaptive research on fast-growing species,

agroforestry, and tropical ecosystems management.

Central funding has not been and will not be allocated to cover all

such research and institution-building efforts. Nor can central planning

designate relative priorities with any expectation of worldwide applic-

ability. Given the nature and diversity of the forestry and community

situations which must be taken into consideration, regional and local

research and institutional-building initiatives are essential.

While the causes and magnitudes of deforestation and devegetation are

different enough to require country by country determination of priority in

operational terms, the universal importance of forest-related concerns

should not be overlooked. No country is immune to the problem of expanding

populations placing increasing stress on natural systems. Few are immune to

the concerns of rising energy costs and few can afford to ignore their

continued dependence on fuelwood. By the time the deforestation problem is

so evident that the urgency for action is apparent to all, it may be too


- 45 -

C. Appropriate Timeframes

It should be recognized that the economic and social benefits of pro-

jects in natural resource conservation, preservation, and development may

not be realized over the short term. Although some objectives or initia-

tives can be accomplished relatively quickly (assessment of resources, use

rates, causes of deforestation), the development of programs to meet other

objectives (training of people, controlling use rates) may require a minimum

of a decade before success can be expected, much less achieved. This should

not deter Missions from proposing such activities.

While short-term accomplishments may be limited, the problems

associated with forest depletion and natural resource degradation will not

correct themselves. Populations and petroleum costs will continue to rise.

Even under the most optimistic conditions of economic and income growth,

with substantial substitutions of alternative fuels for wood, demand for

firewood alone will continue to rise in absolute terms. These long term

trends will persist. Add to them the likelihood of decreasing soil

fertility due to increased erosion and decreasing use of organic fertilizers

(as dung is used to substitute for fuelwood) and the rationale for immediate

initiation of long term programs is clear.

A.I.D. normally funds projects over a three-to-five year project span.

But where the long-range nature of the problem and the need to sustain and

support an equivalent long-term commitment by the host country indicate that

second stage projects will be needed, follow-on support for action projects

- 46 -

should be planned at the outset. Some countries and some regions within

countries have already moved further toward meeting various forestry objec-

tives than have other countries. The array of short-term objectives and the

need for long-term support in these countries will thus differ considerably

from those in countries just beginning to think about concerted efforts to

conserve or develop forest resources.

D. Resources

A.I.D. continues to face constraints of funds, skilled manpower, and

relevant technology. A.I.D. can begin to marshall existing resources in

ways which will help to address the problems of deforestation by:

exploring opportunities for piggybacking forestry-related inter-
ventions in rural development sector efforts

expanding in-house ability through extensive use of collaborative
modes of programming

undertaking forestry-specific initiatives where conditions are
most urgent.

The interdisciplinary mode of intervention, which has already been

mentioned as an important prerequisite to effective action in the forestry

area, will pose some challenges in implementation.

By stressing project complementarity in achieving forestry-related

assistance objectives and by the incorporation of forestry-related com-

ponents in other rural development activities, A.I.D. Missions can effec-

tively piggyback new initiatives on old. As has already been pointed out,

- 47 -

this is likely to be a useful start-up mechanism for Missions already

committed to a wide range of development efforts. But in many developing

countries, additional efforts geared especially to forestry-related objec-

tives will be needed. Current budget and staff constraints indicate that

in-house abilities to develop and fund such additional activities will need

to be expanded by collaborative programming.

Three potential collaborators need to be more actively engaged in

dialogue, planning, and programming:

Peace Corps

Private Voluntary Organzations

Other Donors

Forestry activities should be a major field of concentration between

Peace Corps and A.I.D. The reforestation effort is never going to be solved

by a top-down approach. It is going to require thousands upon thousands of

community-based fuelwood efforts--the kind of approach that Peace Corps

Volunteers, working with villagers and host country officials and backed by

A.I.D. resources, are uniquely suited to tackle.

Successful collaboration with Peace Corps will require A.I.D. attention

to developing means for rapidly making small grants (generally less than

$50,000) available. Volunteers, typically in-country for only two years,

need to be able to apply for and receive needed material support for

forestry activities--support which the Peace Corps cannot, by law, supply.

- 48 -

A.I.D. can also collaborate with Peace Corps by providing technical

support and on-the-job technical training for volunteers and their host

country counterparts. One such project being centrally developed by A.I.D.

and Peace Corps will provide two technical backstoppers to volunteers, but

more will be needed as Peace Corps expands its forestry programs and its

forestry volunteer corps over the next several years.

A.I.D. needs to make the same kind of effort with other voluntary

agencies. There is great capacity among some of the private voluntary

groups to identify, design and implement reforestation projects at the

community level. Among those private voluntary agencies with expertise in

appropriate technology, there is substantial capability to address the

challenge of more efficient forest product utilization (through improved

stoves for cooking and better tools and technologies for tree cutting, for

example) and the design and development of alternative energy sources.

Finally, A.I.D. must continue to join in efforts needing multilateral

cooperation. The World Bank and other donors are already seeking opportuni-

ties to co-finance projects with A.I.D. Perhaps some "division of labor" on

such projects might be worked out, with the Bank funding more capital

intensive components, for example, and A.I.D. funding other items such as

technical assistance, training, or other areas in which the Agency has a

particular competence. As a practical start in this direction, Africa

Bureau is consulting with the World Bank regarding collaboration on the

Forestry and Ecology Team of the CILSS/Club du Sahel. Asia Bureau is also

engaging in informal discussions with Bank and FAO staff. On a country by

- 49 -

country basis, other opportunities to join resources will certainly be

identified as Mission proceed with assessment and analysis of forestry needs

and potentials.

Where conditions are most urgent, Missions may wish to exercise greater

bilateral initiative in undertaking and supporting forestry-specific pro-

grams. In addition to the resources normally available from their regional

bureaus, Missions can tap skills and expertise of the Development Support

Bureau personnel, programs, and projects as well as those of the Title XII


Six IQC contractors in Environment and Natural Resources can provide
some expertise in forestry. The list of IQC firms was attached to
AIRGRAM-210. IQC's and ongoing projects in other related subject areas
such as Agriculture, Energy, and Rural Development can also provide
needed expertise.

A number of DSB and Regional bureau personnel and IDIs with formal
training in forestry can be made available for support of Mission
needs. The new DSB Office of Environment and Natural Resources
(DS/ENR) which is now being formed will serve as a key point of contact
on forestry matters. Other personnel having knowledge of related
fields such as remote sensing, environment, hydrology, agronomy, soils
management, energy, land use planning, land tenure, local organiza-
tions, and community participation can also be made available in
response to specific Mission requests.

A four-year RSSA with the U.S. Forest Service will provide Missions
with the services of resident forestry advisors and with expert
referral information and limited on-call services for technical
expertise in forestry and natural resource management. Missions should
be able to request such services from DS/ST (soon to become DS/ENR) by
mid-FY 81. A RSSA with the Department of Energy managed by the Office
of Energy can also provide short-term services to Missions upon

50 -

All of these resources, expertly used, will only begin to address the

problems of deforestation and natural resource degradation in developing

countries. Indeed, the magnitude of the problems is likely to require a

vastly increased effort, including considerably more significant allocations

of resources, by donors and developing countries themselves, before

sustainable solutions can be achieved on any broad scale.

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