PROJECT COMPLETION REPORT 57-99 R… · PROJECT COMPLETION REPORT April 2008 . 2 ... (FMS) for the...
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PD 57/99 Rev. 2 (F) Sustainable Management of Production Forests at the Commercial Scale in the Brazilian Amazon PROJECT COMPLETION REPORT April 2008
Transcript of PROJECT COMPLETION REPORT 57-99 R… · PROJECT COMPLETION REPORT April 2008 . 2 ... (FMS) for the...
PD 57/99 Rev. 2 (F)
Sustainable Management of Production Forests at the
Commercial Scale in the Brazilian Amazon
PROJECT COMPLETION REPORT
April 2008
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TABLE OF CONTENTS
PROJECT IDENTIFICATION ....................................................................... 3
PART I: EXECUTIVE SUMMARY ............................................................... 3
1. Background information about the project ......................................... 3
2. Project Achievements .......................................................................... 6
3. Target beneficiaries involvement ......................................................... 8
4. Lesson learned .................................................................................... 8
5. Recommendations ............................................................................... 11
PART II: MAIN TEXT ................................................................................... 13
1. Project content .................................................................................... 13
2. Project context .................................................................................... 21
3. Project design and organization .......................................................... 24
4. Project implementation ....................................................................... 26
5. Project results ..................................................................................... 28
6. Synthesis of the analysis ..................................................................... 29
PART III: CONCLUSIONS AND RECOMMENDATIONS ........................... 29
a) Development lessons ..................................................................... 29
b) Operational lessons ....................................................................... 30
c) Recommendations for future projects ............................................ 31
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PROJECT IDENTIFICATION
a) Title: Sustainable Management of Production Forests at the Commercial Scale in
the Brazilian Amazon
b) Serial Number: PD 57/99 Rev.2 (F)
c) Executing Agency: Embrapa Amazônia Oriental
d) Host Government: Brazil
e) Starting Date: 1 November 2002
f) Actual Duration (months): 62
g) Actual Project Costs (US$):
ITTO: 768,954.00
Embrapa: 223,300.00
CIFOR: 268,048.00
Timber enterprise (Juruá & Cikel): 271,644.00
Collaborators: 35,000.00
PART I: EXECUTIVE SUMMARY
1. Background Information About the Project
The key problems it intended to solve
Timber exploitation, as a pioneer activity, plays an important role in the
economy of the Amazon region, but also in the destructive process affecting their natural
resources. The characteristics of current logging activities can be regarded as mining. The
renewable value of the forest is simply not considered. Although highly selective, the
application of inadequate operational techniques usually results in significant damage to
the remaining forest. In many cases, logged-over forests are legally or illegally cleared,
burnt out and converted into agricultural land. In this process, biodiversity decreases as
many endemic animals and plants disappear.
In this situation, evolves the concept of sustainable forest management based
on the application of Reduced Impact Logging practices, as an attractive alternative to use
the economic potential of the forests while maintaining their environmental and economic
value. But, after over two decades of research on sustainable forest management, there is
a generalized scepticism about the effectiveness of the recommended techniques. Even
though several research projects conducted in the region show positive results about the
effectiveness of the proposed systems, commercial loggers seriously hesitate to adopt
them. This led to the paradox situation that the research results have been incorporated in
the Brazilian forest management regulations, but in practice timber companies do not
follow them.
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The entrepreneurs, in general, do not believe in the benefits of introducing
good management practices in their operations, and do not apply them to confirm their
disbelieve. A diagnostic survey of forest management projects in the Paragominas region,
conducted in 1995 by the Brazilian Agricultural Research Corporation (Embrapa), the
Brazilian Institute for Environment and Renewable Natural Resources (IBAMA) and
other partners, revealed that the totality of logging operations did not follow the
prescriptions established in the forest management regulations which corresponds to a
great extent with the ITTO’s recommendations regarding good forest management
practices. It became obvious that there have been only very few demonstration projects
for good forest management at the commercial scale in the region, and that the logging
companies have been insufficiently engaged in the few experiments established so far.
Thus one of the most important conclusions of the above mentioned survey
was the need to establish demonstration projects at commercial scale and with the active
involvement of timber enterprises. This important stimulation to adopt good forest
management practices deemed especially important in the Eastern Amazon, as being the
most important timber producing region in the Amazon. It was expected that this would
complement another ongoing ITTO Project in the Tapajós Forest, in the western part of
Pará State.
Based on these premises, Embrapa and the Centre for International Forestry
Research (CIFOR) signed a memorandum of understanding in order to coordinate and
implement, together with other relevant institutions of the region, a demonstration project
on sustainable forest management having the effective participation of two local timber
enterprises as partners.
Specific Objectives and Outputs
The project aimed to achieve two specific objectives:
a). Develop, test and evaluate a Forest Management System (FMS) for the effective
and sustainable use of forest resources by medium and large size timber enterprises in
the terra firme forests of the Brazilian Amazon.
b). Promote a wide dissemination of the FMS amongst medium and large size timber
enterprises in the terra firme forests of the Brazilian Amazon.
For achieving each specific objective, the following targets were established as project
outputs:
a.1). Project infrastructure established and maintained
a.2). A FMS-prototype validated by partner enterprises in the eastern Brazilian
Amazon considering technical, environmental and economic aspects
a.3). A system for monitoring and evaluating the social, ecological and economic
impacts of the FMS defined and tested
b.1). Project results documented and disseminated through field days, publications
and technical meetings
b.2). A strategy and mechanism to transfer the FMS to timber enterprises of the
Brazilian Amazon defined with the participation of relevant parties
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Strategy adopted in carrying out the project
The main idea of the project was to develop, test, evaluate and transfer a Forest
Management System (FMS) for use by timber enterprises working under typical
production conditions found in terra firme forests of the Brazilian Amazon. The FMS
consists of a set of tools designed to assist a forest enterprise in the planning,
implementation, evaluation and monitoring of its operations to achieve sustained
economic benefits under current and foreseeable environmental and social conditions.
There are two types of tools: silvicultural, including tools for planning timber harvesting,
and managerial, for the economic planning and control of the enterprise‘s operations.
Two timber enterprises were selected as project partners, Juruá Florestal Ltda. and
Cikel Brasil Verde Madeiras Ltda., both are representatives for a large number of forest
enterprises in the Amazon.
After the development of the silvicultural and managerial tools, the Forest
Management System Prototype (FMS-P) was tested and validated at an operational scale
by these two partner timber enterprises. In addition, a system to monitor the ecological,
social and economic impacts of the FMS was developed and tested.
Training was provided in close co-operation with the Tropical Forest Institute (IFT
– Instituto Floresta Tropical). The project technical and scientific staff trained the
enterprises technical staff in the utilization of the forest management tools (computer
software, silvicultural field procedures, etc), the supervision of forest operations, as well
as the monitoring of the FMS-P in order to identify its direct and indirect impacts, with
special emphasis in the identification of problems and opportunities created during the
implementation process. Based on the results of the continuous assessment by the project
partners, the FMS tools were revised and adapted for a better practical use.
In a second phase of the project the findings and validated tools for good forest
management developed during the first phase will be disseminated to a large universe of
relevant stake holders, by building capacity of training centres and universities of the
Amazon region to transfer the SFM tools to timber enterprises and government
environmental agencies responsible for forest management. The direct and indirect effects
of transferring the SFM tools to timber enterprises will be evaluated as bases to further
refine of tools as well as the dissemination strategies.
The Project’s planned duration and planned overall costs
The project was originally planned for a five-year period beginning January 2000
and ending December 2004. The project actually began in November 2002 for a first
phase of two years.
The budget approved by ITTO was US$ 1,404,132.00 of which US$ 753,954.00
was committed from ITTO and the balance from counterpart funding. During the
execution of the project US$ 162,814.00 were added to the budget, of which US$
15,000.00 represented the bank interest earned from the ITTO amount and the balance
from counterpart funding.
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2. Project Achievements
Outputs Achieved
The project achieved all envisaged outputs, three related to the specific objective
a and two linked to the specific objective b.
a.1). Project infrastructure established and maintained
The project’s administrative and technical support personnel were recruited in
February 1st, 2006. The database of the “Bom Manejo” virtual community
(http://www.catir.sede.embrapa.br) was installed and regularly updated. The project office
had been fully operational since 2005. Project funds were administered by the Tropical
Forest Institute (IFT) since November 2005. Project monitoring by the Agência Brasileira
de Cooperação (ABC) was carried out regularly through personal contacts and via
electronic correspondence. Project accounts were systematically audited by an auditor
assigned by Embrapa headquarters according to decision of the Steering Committee.
a.2). A FMS-prototype validated by partner enterprises in the eastern Brazilian
Amazon considering technical, environmental and economic aspects
Technical Guidelines for Forest Management as well as for Reduced Impact
Harvesting - RIH were produced and used by the partner enterprises. The software MOP
(Monitoring Enterprise Operational Performance), MEOF (Economic Monitoring of
Forest Operations) and PLANEJO (Planning and Control of Forest Management
Operations) were developed, tested and have been used by timber enterprises, research
institutions, universities and government agencies involved with forest management.
a.3). A system for monitoring and evaluating the social, ecological and economic impacts
of the FMS defined and tested
A tool to monitor the social, ecological and economic impacts of the FMS,
including impacts on local communities was developed, including, procedures to monitor
logging damage. The criteria and indicators as well as methodologies have been used by
universities and research institutions. ITTO Criteria and Indicators were applied in the
Forest Management Units of Cikel (Rio Capim, ABC and Martins) and Juruá (Arataú and
Santa Marta) and a manual for auditing forest management projects was developed in
collaboration with IBAMA. The auditing procedures have been successfully implemented
by IBAMA and the State Environment of Para (SEMA) for the analyses of forest
management projects in the Amazon region located in public and private forests.
b.1). Project results documented and disseminated through field days, publications and
technical meetings
More than 40 documents were prepared in the course of the execution of the
project, including books, papers, manuals, progress reports, folders, banners etc. In
addition, two field days were organized and a home page
(http://www.cpatu.embrapa.br/BomManejo) was created. A final seminar was organized
which was attended by nearly 200 people, including scientists, the industrial sector, policy
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makers and students. Project results were also disseminated through presentation at
national and international conferences, many technical meetings and through the
involvement of graduate and undergraduate students.
b.2) A strategy and mechanism to transfer the FMS to timber enterprises of the
Brazilian Amazon defined with the participation of relevant parties
A strategy and mechanism to transfer the FMS to timber enterprises were defined
to be executed in the project’s second phase. The profoundly revised proposal for the
second projects’ phase foresees as the project’s-executing agency Embrapa. The Ministry
of Environment through the IBAMA and its Forest Management National Support Centre
Forest Service (CENAFLOR), the Brazilian National Forestry Programme (PNF), and the
Brazilian Forest Service (SFB) will be main partner institutions in this project, together
with IFT. CIFOR and the University of Freiburg (ALU-FR) will collaborate with
institutional support. In addition, a number of governmental and non-governmental
institutions in the region will participate or benefit from the project.
Specific Objectives Achieved
A Forest Management System (FMS) for effective and sustainable use of forest
resources by medium and large size timber enterprises in the terra firme forests of the
Brazilian Amazon was developed, tested, evaluated and have been adopted to a large
extent by forest enterprises in the Brazilian Amazonia.
The project has contributed to a wider dissemination of the FMS (through field
days, training, courses, seminar, publications and technical meetings) amongst medium
and large size timber enterprises in the terra firme forests of the Brazilian Amazon,
including those interested in certification and good forest management. A strategy and
mechanism to continue disseminating and transferring the FMS to timber enterprises of
the Brazilian Amazon to be applied in the projects’ second phase, starting in 2009, was
developed in tight cooperation with highly relevant partners in Brazil.
Contribution to the Achievement on the Development Objective
The project contributed to the achievement of the development objective.
- Good forest management practices are being adopted by medium and large size
timber enterprises in the terra firme forests of the Brazilian Amazon.
- The auditing procedures developed by the project for the analyses of forest
management projects in the Amazon are being adopted by IBAMA and SEMA.
- Technical guidelines for forest management as well as for reduced impact logging and
a set of five softwares are being used by timber enterprises and Amazonian
universities in their courses of forest engineering.
- Dissemination and use of scientific project findings by experts, technicians and
governmental authorities.
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3. Target Beneficiaries Involvement
As foreseen by the project strategy, timber enterprises were actively engaged in
the development and validation of the various silvicultural and managerial tools. This has
significantly contributed to the validity and acceptance of the tools by the forest sector.
Already during the project a 2nd
timber enterprise became interested in following the
research approach and to collaborate with the project. Both enterprises contributed with
the significant input of own human and financial resources. On course of the project,
many timber enterprises affirmed their interest in the project and the developed tools. In
numerous cases, it was possible to arrange agreements and to support interested
enterprises in implementing good forest management practices. In particular, the
collaboration with IFT facilitated the dissemination of project outcomes to a wider
universe. Extremely positive was also the active involvement of IBAMA as the legal
authority. This unique cooperation enabled the project to directly contribute to improve
the effectiveness and role of governmental organisations in the promotion of sustainable
forest management in the region. The very positive experiences gained in this
cooperation, led to the decision of IBAMA through the Brazilian Forest Service being an
active partner in the 2nd
project phases.
Finally, an expressive number of scholars, experts, professors and students were
actively involved as partners in collaborators during the project. Most of the project’s
outcomes have been elaborated in cooperation with and support of these partners. This
has contributed to the quality of the project outcomes, as well as to their dissemination.
4. Lesson Learned
a) Development Lessons
Aspects of the project design which most contributed to its success in achieving the
Development Objective
- The infrastructure of the executing agency (Embrapa) and of the partner timber
enterprises.
- The experience of Embrapa and CIFOR in conducting international projects.
- Forest enterprises are capable to develop technological innovations.
- Reduced impact harvesting (RIH) does not constitute a technical problem but a
cultural challenge.
- The experience of Embrapa on forest research and the lessons that it has learned over
the past 30 years on the management of Amazonian natural forests contributed
substantially to the project’s success.
- The support of partners, collaborators and associates greatly contributed to the
project’s success.
Changes in intersectoral links which affected the project success
- The shift from conventional logging to good forest management requires considerable
investments in equipment (in particular for skidding operations) and human resources
(qualified staff, training), as well as strong organizational adjustments within the
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enterprise. Thus, the success to achieve such change depends mainly on the
enterprise’s managerial capacity.
- During the last years, the timber sector started a profound reorganization process
creating and enabling environmental for the adoption of good forest management.
- The increasing acceptance of general public and the private sector about the potential
of good forest management to forest conservation and economic growth also
contributed to the project’s success.
Additional arrangements that could improve cooperation between the relevant
parties interested in the project
- The relationships between partners and collaborators should be formalized to guide
each for the execution of the activities according to the established arrangements.
- The social dimension is crucial for the long-term success of good forest management.
- Continuing pressure on government agencies, the forest sector, and the public to
develop a sustainable forest sector and to further advance forest management as a
means of sustainable development in the Amazon. These stakeholders must be
willing and able to invest training and capacity building required for success.
- It is important to convince the public that forest management do not only generate
short-term financially benefits, but also provide a long-term development option for
the region generating numerous social benefits.
Factors which will most likely affect project sustainability after completion
- Generate a better understanding of how timber industries work/operate in order to
provide insights to design more adequate strategies (e.g. incentives/ disincentives) for
promoting the adoption of sustainable forest management.
- Establish effective measures against illegal logging.
- Facilitate of timber commercialization as a crucial factor for the profitability of
enterprise’ forest operations.
- Support the second phase of the project crucial for the effective dissemination of the
developed silvicultural and managerial tools developed in the first phase.
b) Operational Lessons
Project organization and management
- The profitability of enterprise operations mainly depends on the professional capacity
of its management unit.
- The administrative separation between the enterprise’ forest and industrial sectors is
crucial to improve management.
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Project documentation
- Careful financial documentation is critical especially when there are multiple partners
in the project. This project reinforced the need for careful documentation not only for
audits, but also for administrative and operational effectiveness.
Monitoring and evaluation
- Steering Committee’s oversight is an important part of the project. There should have
been more field visits during Steering Committee meetings.
Quality of project planning
- Project planning is extremely important in all projects that most of the activities take
place in remote locations where communication is difficult. In this project, detailed
planning was essential, and an equivalent level of planning should take place in all
similar projects
- At no time during the project were the scheduled activities compromised due to
inadequate planning. The reason for this success was substantial staff experience,
constant monitoring, vigilance, supervision, and evaluation of the day-to-day
situation.
- Project planning was especially important in this project because most of the activities
took place in Forest Management Units where communication was difficult. Thus,
detailed planning was essential, and an equivalent level of planning should take place
in all similar projects. The logistic aspects of all of these items had to be carefully
planned.
Actions that should be taken to avoid variations between the planned and the actual
implementation (schedule, costs, etc.)
- Contingency plans and preventive actions should be in place to ensure that
implementation proceeds according to foreseen plans. Embrapa made sure to develop
such plans based on its operational experience.
- The schedule and overall plans should count on some flexibility and also on
alternative options so as to cover unexpected changes or events.
- Planning for financial variations should be done in details and carefully. The project
had to take a rather drastic cost reduction program, which affected significantly the
organization and the project staff, but fortunately did not compromise the project’s
results or its effectiveness. The receipt of additional counterpart support (CNPq and
the Brazilian Forest Service) helped to ensure that the project successfully completed
the planned activities and expected products.
5. Recommendations
- Create the conditions to required promote changes in the behaviour of forest
enterprises. The acknowledgement of the enterprises executing of good forest
management practices can contribute to motive other enterprises and would allow to
significantly increase the quality and efficiency of forest management, especially in
the planning and monitoring operations.
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- Effective mechanisms for the transfer of good forest management tools is crucial for
further success and should include mechanism for on-site training and supervision.
- The private sector should be actively included in decision making about forest issues
and the development of tools and strategies for the support of the forest section.
- Investment in the systematic social and economic consolidation of rural Amazon is
essential to ensure the long-term success of sustainable forest management initiatives.
- Before offering forest concessions to timber enterprises a careful assessment of the
financial availability of long-term investments in forest management is necessary to
ensure sustainability. Forest not promising financial long-term viability should be
zoned as conservation unit.
- Expert approaches have to be simple for practical application and should consider the
limited enterprises’ capacities and their resistance against innovations.
- Significant investments are needed in the human and financial resources of the
government agencies entities responsible for auditing and control of forest
management.
- Establish collaboration partnerships with enterprises based on mutually agreed
interests, responsibilities and accountability.
- Research projects should consider the full range of factors affecting forest
management, including forest type, topography, soil type, and forest products or uses
(timber, NTFPs, and other forest uses).
- During the development of a project, all the relevant actors should be involved, so as
to ensure relevance, viability and acceptance to project outcomes.
- More effective communication mechanisms between the Organization and
governmental institutions should be established.
- The Executing Agency should establish more favourable conditions for project
administration with international funding
- The new approach for auditing forest management plans developed by the project in
cooperation with IBAMA (Manual for auditing forest management projects in
Amazonia) represents an opportunity to gradually improve the management
operations. Thus, audits can serve as a vehicle to establish a positive interaction
between the auditing entities and those responsible for the forest management plans.
- The involvement of social assistants in enterprises’ work is essential to adequately
address the social dimension of sustainable forest management.
PART II. MAIN TEXT
1. Project Content
Background
Silvicultural research aiming at the sustainable management of Amazonian forests
dates back to the early 1960’s. A FAO/SPVEA/SUDAM project in Curuá-Una, Pará
initiated the first experiences with plantation and natural forest management in the region.
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Research was intensified in the middle of the 1970’s in another FAO/IBDF project.
Natural forest management and plantation experiments were established in the Tapajós
National Forest and Belterra. In 1978 Embrapa took over IBDF’s research mandate to
continue and to intensify forestry research in the region. New silvicultural experiments
were then established in Jari and Moju regions creating a set of silvicultural research
which formed the basis for the silvicultural system prescribed by Embrapa in 1990.
Since the 1980’s several other institutions have greatly contributed to increase the
knowledge for the sustainable use of the tropical rain forests of the Brazilian Amazon. It
is worth mentioning the work carried out by INPA in the Western Amazon on the
functioning, silviculture and management of tropical rain forests in that region. The
Faculty of Agricultural Sciences (FCAP - Faculdade de Ciências Agrárias do Pará), apart
from its educational role, providing professionals in forestry, also great contributed to
forestry research in the Amazon.
From the 1990’s non-governmental institutions such as Woods Hole Research
Centre, IMAZON and FFT amongst others have added a great deal to the knowledge of
the ecology and sustainable use natural resources in the region. FFT has played an
important role in disseminating low impact logging techniques amongst timber producers
and in training foresters, managers and other professionals in forest management
techniques.
In spite of all these efforts, the diagnostic survey conducted in 1975 by Embrapa,
IBAMA and other partners in the forest management projects in Paragominas region,
revealed that the totality of the projects were not following the prescriptions established in
the forest management regulations which agrees to a great extent with the ITTO’s
recommendations regarding good forest management practices. Therefore the year 2000
target could not be met.
One of the most important conclusions of the survey was the strong need to
increase the number of demonstration projects in the region, especially in the Eastern
Amazon, the most important timber producing region in the Amazon, in order to
stimulate timber producers to adopt good forest management practices.
Based on these premises Embrapa and CIFOR signed a memorandum of
understanding in order to coordinate and implement, together with other relevant
institutions of the region, a demonstration project on sustainable forest management
having the effective participation of a timber enterprise as a partner.
The cooperation between Embrapa, CIFOR and ITTO through this research and
development project not only contributed to the achievement of the ITTO year 2000
objective, but also enhanced the relationship between these three institutions.
The tropical forests of the Brazilian Amazon, because of their extension and rich
biodiversity, are of global importance. Besides their ecological functions as genetic
resources, home for diverse wildlife and their role in the regional and global climate, the
commercial value of their timber and non-timber forest products is immense.
Each year huge areas with primary forests are converted into agricultural crops or
pasture land, or are depleted by inadequate logging practices. These activities destroy or
significantly reduce the economic potential of the forests and cause extremely negative
social and ecological impacts. The socio-economic and ecological potential for a more
effective and sustainable use of these resources are still widely ignored.
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Timber exploitation, as a pioneer activity, plays an important role in the economy
of the region, but also in the destructive process affecting their natural resources. The
characteristics of current logging activities can be regarded as mining. The renewable
value of the forest is simply not considered. Although highly selective, the application of
inadequate operational techniques usually results in significant damage to the remaining
forest. In many cases, logged-over forests are legally or illegally cleared, burnt out and
converted into agricultural land. In this process, biodiversity decreases as many endemic
animals and plants disappear.
Because of the region’s natural limitations, land fertility decreases rapidly and
after a few cropping years the land is abandoned. This is also a major cause for local
people not being able to build out cultural roots and for permanently living in provisional
arrangements.
The management of tropical rain forest at operational scale, applying the so called
“good management techniques”, aiming at reducing the environmental impacts, is
considered rare in the world. In the Brazilian Amazon, several causes contribute to this
situation. One of the more important is the abundance of relatively cheap timber from
unsustainable sources. Other causes are: lack of interest shown by timber producers to
adopt new technologies; lack of knowledge of foresters and loggers of what “good
management practices” are; lack of training in low impact management techniques; lack
of financial and credit incentives for natural forest management. Timber originated from
unsustainable sources (deforestation, unmanaged forests and illegal logging) does not
compete with that from good management projects, whose production costs are obviously
much higher than timber originated from conversion of forest land, for instance.
In Brazil, after over two decades of research on sustainable forest management,
there is a generalized scepticism about the effectiveness of the recommended techniques
and a serious unwillingness from the producers to adopt them, even though several
research projects conducted in the region show positive results about the effectiveness of
the proposed systems. The research results have been incorporated in the Brazilian forest
management regulations, but in practice the timber companies do not follow them.
A great part of the failure on the adoption of good management practices rely on
the reduced number of demonstration projects at the commercial scale in the region.
Another reason is that in just a few of them there is an effective participation of the
producer. The entrepreneurs, in general, do not believe in the benefits of introducing good
management practices in their operations, but on the other hand they do not practice to
confirm their disbelieve.
In spite of the problems in the adoption of good management practices, the
interest in more effective forest management increased strongly in the last years as a result
of the expectation for higher prices for certified timber and more efficient logging
activities, as opposed to the negative economic, ecological and social impacts of
conventional logging. Timber enterprises tend to disregard the existing management tools
because of a lack of documented experiences and practicability at the commercial scale.
To break their scepticism it is essential to validate a Forest Management System for a
more efficient and sustainable use of forest resources at the commercial scale and
document the economic, ecological and socio-cultural advantages and disadvantages.
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The specific Objectives and Outputs
The project aimed to achieve two specific objectives:
a). Develop, test and evaluate a Forest Management System (FMS) for effective and
sustainable use of forest resources by medium and large size timber enterprises in the
terra firme forests of the Brazilian Amazon.
b). Promote a wide dissemination of the FMS amongst medium and large size timber
enterprises in the terra firme forests of the Brazilian Amazon.
For achieving each specific objective, the following targets were established as project
outputs:
a.1). Project infrastructure established and maintained
a.2). A FMS-prototype validated by partner enterprises in the eastern Brazilian Amazon
considering technical, environmental and economic aspects
a.3). A system for monitoring and evaluating the social, ecological and economic
impacts of the FMS defined and tested
b.1). Project results documented and disseminated through field days, publications and
technical meetings
b.2). A strategy and mechanism to transfer the FMS to timber enterprises of the
Brazilian Amazon defined with the participation of relevant parties
The strategy adopted in carrying out the project
Reasons for selection
The project’s development objective is to encourage the adoption of good forest
management practices by timber enterprises in the Brazilian Amazon. Good forest
management is seen here as the application by timber enterprises of a set of strategies,
techniques and tools with the aim to make more efficient and sustainable use of the forest
resource. The central idea of the project is to develop, test, evaluate and transfer a Forest
Management System (FMS) for use by timber enterprises working under typical
production conditions found in terra firme forests of the Brazilian Amazon. The FMS
consists of a set of tools designed to assist a forest enterprise in the planning,
implementation, evaluation and monitoring of its operations to achieve sustained
economic benefits under current and foreseeable environmental and social conditions.
There are two types of tools: silvicultural, including tools for planning timber harvesting,
and managerial, for the economic planning and control of the enterprise‘s operations.
A Forest Management System Prototype (FMS-P) was tested and validated at an
operational scale by two timber enterprises in the Eastern Brazilian Amazon. In addition,
a system to monitor the ecological, social and economic impacts of the FMS was
developed and tested.
The main aim of the project was to improve and adequately document the
techniques and tools of the FMS-P and evaluate its environmental impacts and cost-
benefits relations, and to raise the interest of timber enterprises, government and
development agencies through the dissemination of project results.
Training was provided in close co-operation with IFT. The project technical and
scientific staff trained the enterprise’s technical staff in the utilization of the forest
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management tools (computer software, silvicultural field procedures, etc), supervised the
operations of the partner enterprise as well as monitored the implementation of the FMS-
P to identify its direct and indirect impacts, with special emphasis in the identification of
problems and opportunities created during the implementation process. The FMS tools
were revised and adapted for a better practical use. The development of viable strategies
for transferring the FMS was a key activity during this phase. They were prepared with
the participation of relevant Brazilian institutions and partners.
Lessons drawn from past evaluation
Since 1997 a number of activities have been carried out to prepare the project.
The main aspects are described below:
The project idea was firstly discussed by Embrapa and CIFOR in 1997. In the
first half of 1998 a draft project proposal was prepared and discussed with some relevant
parties. The process to select a partner timber enterprise began in this period. The criteria
used for selection were: willingness to invest in forest management; it should be a
medium to large size company having a management project approved by IBAMA, with
annual coupes of at least 1.000 ha; it should have a diversified production, good
accessibility, a land title free of conflicts and a permanent technical staff. Important was
that the partner enterprise allows full access to all economic and managerial data required.
Four of the most important harvesting regions in the State of Pará were visited (in
chronological order): Santarém, Paragominas, Tailândia and Moju. Timber associations
were contacted and a number of potential candidate enterprises visited. As a result of this,
“Juruá Madeiras Ltda ” (formerly Exportadora Peracchi) was selected as project partner,
whose industry is based in the small town of Tailândia, capital of the municipality of the
same name and in the neighbourhood of Moju, about 200 km South of Pará´s capital
Belém. The company is representative of a large number of forest enterprises in the
Amazon. This enterprise had in 1997 collaborated with Embrapa in a pilot RIH operation
in 200 ha of the Embrapa’s Research Forest in Moju. The FMU has an area of 12 000 ha,
restricted to the West by the Moju river and to the East by the Cairari river Its southern
and northern boundaries are limited by farm land. The willingness of the enterprise’s
manager for a partnership was demonstrated through the wide cooperation offered during
the socio-economic survey carried out in the FMU and the enterprise’s industry by FCAP
(UFRA) and Embrapa/CIFOR at the end of 1998, and by participating in various
meetings and workshops to discuss the project design.
A preliminary socio-economic study about the project area and the selected
partner enterprise was carried out to mainly identify opportunities and problems for the
implementation of the FMS-P in Phase I. A number of deficiencies were detected in the
FMS of the partner enterprise, such as: unclear land use rights and boundaries, lack of
maps, lack of organization and reporting, etc.. Most problems were discussed with and
adequately addressed by the partner enterprise and collaborating institutions and led to
important improvements of the project. The study also showed the existence of a fairly
good infrastructure and logistic conditions as well as a high level of willingness for
cooperation and implementation of the FMS by the partner enterprise.
One key task of the project is the validation by the partner timber enterprise of a
set of technical guidelines for RIH. Well planned and implemented harvesting operations
should reduce environmental damage and thus increase the potential for future harvesting,
increase working efficiency and reduce waste. In December 1998 Embrapa and CIFOR
organized a workshop in Barcarena, Pará State, to discuss the draft guidelines and prepare
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specific recommendations for RIH to be used in the project. The guidelines were based on
past experiences with the application of RIH techniques in the Brazilian Amazon such as
IBDF/FAO in Curuá Una, IBDF/Embrapa in the Tapajós Forest, FFT, IMAZON,
Precious Woods – Mil Madeireira the FAO Model Code of Forest Harvesting Practices
and a CIFOR publication on RIH for Indonesia.
Another contribution to the project preparation was the organization of a second
workshop, also held in December 1998 in the same venue, in which indicators and
methodologies for monitoring the ecological, social and economic impacts of commercial
timber management projects were identified and defined. This international meeting
served also to identify the interest of the invited institutions and researchers to participate
in the project and to review the existing draft proposal. Workshop participants made
constructive critics to this latter and gave important suggestions about strategies to
strengthen the positive aspects of the proposal and to avoid negative aspects and risks.
Based on these results a final strategy and guidelines were defined and incorporated into
the present project proposal.
In February and March 1990 in collaboration with CIFOR a criteria and indicator
system (C&I) for assessing the sustainability of forest management was tested in the
FMU of the partner enterprise. The test showed unambiguously the current lack of
sustainability in the use of the forest resource. The outcomes of the test gave also
important hinds for the development of a system to monitor timber enterprise activities
and impacts of FMS implementation, which were worked out during 1999.
Project implementation in the selected FMU started in April 1999 mainly to
prepare the partner enterprise to receive the improved forest management techniques and
introduce the necessary changes/improvements in next year‘s operations. Four hundred
hectares out of the 2000 ha annual coupe foreseen for 1999 were demarcated by the
enterprise to start implementing the FMS prototype which consisted of the application of
RIH following the guidelines prepared by the project. Training of field crews as well as
technicians was an important activity during the preparatory phase, both through on-site
training and by attending specific short courses. Pre-harvesting and harvesting operations
were supervised by the project staff and collaborators. Enterprise‘s conventional
operations in the remaining 1500 ha of the 1999-annual coupe were evaluated for
comparison.
Technical and scientific aspects
As mentioned before, the project included four project components: development,
implementation, monitoring and dissemination of silvicultural and management tools. In
the following paragraphs the technical and scientific aspects of these components and the
related tools are described.
- The Forest Management System
The FMS involves two areas of intervention: silviculture, to use or adapt
techniques and tools to improve the economic efficiency and working conditions of
forest operations (pre-harvesting, harvesting and post-harvesting silviculture) and
reduce their negative environmental impacts; and economic planning and control of
enterprise’s operations, conceived as an integrative system of reports and analysis of
the enterprise’s production and financial movements to support efficiently the control
and planning process by the enterprise.
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As elements of the Forest Management System belonging to each area of
intervention, a variety of tools (silvicultural and managerial) were defined. In
particular, the following tools were distinguished:
. Silvicultural Tools (ST)
ST-1: Technical guidelines for reduced impact harvesting (RIH). A set of
procedures regulating harvesting operations in order to: a) minimize the
environmental damage, conserve the potential for the next commercial harvesting
and maintain basic ecological services; b) reduce operational costs, and c) increase
efficiency of harvesting operations and reduce waste.
ST-2: Technical guidelines for post-harvesting silviculture. A set of procedures
regulating post-harvesting silvicultural interventions in order to: a) increase growth
rates of desired timber species, thus shortening the estimated cutting cycle; b)
estimate the occurrence of desired regeneration, and c) increase the quality of the
future crop.
ST-3: Software for planning harvest and controlling forest production. Timber
enterprises can plan the management phases aiming to increase efficiency, viability
and control the forest operations.
ST-4: Guidelines for the establishment of permanent sample plots and software
for monitoring growth and yield: the continuous forest inventory system. MFT is
a software for managing permanent sample plot data. Its main outputs are stand
tables, growth, mortality and recruitment.
. Managerial Tools (MT)
MT-1: Manual for monitoring enterprise’s operational performance. A set of
procedures linked to a computer-based software to record, analyze and report the
operational performance of enterprise’s operations in order to control quality and
quantity of achievement and support management decisions.
MT-2: Manual for monitoring enterprises’ economic operations. A manual and
corresponding software for analysing production and costs of forest operations.
MT-3: Manual for controlling and planning of enterprise’s operations. An
integrated computer based information system to assist the enterprise in control and
planning operations, e.g. cost-benefit calculation, investment analyses,
documentation of production process, planning schemes.
- Training
Training of the partner enterprises’ staff is an essential activity in the
implementation of the FMS components. The project counts on the experience
developed by the IFT in the ITTO project PD 45/97 Rev.1 (F). The training
approach was implemented in three phases: an intensive training of the forest
engineers and practitioners in the FFT’s training site Cauaxi, followed by in-service
training during execution of forest management operations (pre-harvesting
inventories, harvesting, etc.), supervised by the project team. The quality of the
management operations was controlled during the course of project implementation.
For the transfer of the management tools a more elaborated transfer level is
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necessary. The enterprise staff participated deeply during the developing and testing
process, to ensure the feasibility of the instruments. By using the management tools,
all enterprise activities were considered.
- Dissemination
As a demonstration oriented project the documentation and dissemination is a
strong feature. The outcomes of the different project components were documented
in project working papers, partly submitted to international scientific journals. A
number of publications targeted to different audiences was produced and widely
distributed. The project also made extensive use of the media such as newspapers,
television, video, folders, and a homepage in the Internet. Workshops, conferences
and seminars were used to present project findings and to assess the progress
achieved.
To ensure the dissemination of project findings to a wider group of clients,
two field days were organized directed towards forest companies, loggers, decision-
makers, policy makers, advisors, researchers and students. On-site practical training
for forest students was also envisaged. In addition the project offered opportunities
for researchers/graduate students to carry out relevant research.
Economic aspects
The economic aspects of the project itself were structured as follows.
The direct inputs for the project were partly provided by the project team and
the partner enterprises. The project team was responsible for knowledge transfer, the
supervision of operations and the assessment and analysis of the ecological, economic
and socio-cultural impacts of the FMS, as well as for the documentation and
preparation of project results. The partner enterprises were responsible for the
coordination, planning and execution of operational activities in the FMUs.
As project outputs, a variety of direct and – more important -indirect positive
effects occurred. Through the implementation of improved techniques and other
management tools in the administration and sawmill, the enterprise saved an amount
of costs and losses otherwise incurred by lack of (or improper) planning and control.
An increase in the efficiency of the forest operations and the overall production
occurred, as well as an enhanced economic potential for a second commercial harvest
at the end of the current cutting cycle. In addition the enterprises were both FSC
certified.
The most important indirect effect of the project resulted from the training and
demonstration activities. As the partner enterprises are leaders in the market, the
acceptance of the FMS by other enterprises is now relatively high. Because of the
good prospects for sustainable timber production, the need for the enterprises to
relocate their sawmills and explore new frontier areas diminished. Related to this, a
stable factor in the regional economy was built in the form of permanent employment
and market opportunities as well as attractive investment possibilities. Finally the
conservation of natural resources and the positive effects on climate, water, wildlife
and soils are important by-products of this process.
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The identification of the indirect negative effects of the FMS on the
environment, the economy and the social life at the local and municipal levels, was
also an important task of the project.
Environmental aspects
One of the motivations to introduce good forest management practices is to
reduce the negative environmental impacts of current logging operations. Training the
enterprise’s labor force and technical staff ensured the correct application of the RIH
guidelines. To verify the real impact of the project activities, the environmental effects
of the improved techniques were monitored and compared to those of conventional
practices.
Social aspects
The social impacts of the project were monitored and analyzed. There were
three large groups the project focused on: the workers and administration staff of the
partner enterprises, the other actors in the region involved in logging activities, and
the small farmers settled in the vicinities of the partner enterprises’ FMU.
The project’s planned duration and planned overall costs
The project was originally planned for a five-year period beginning January 2000
and ending December 2004. The project actually began in November 2002.
The budget approved by ITTO was 1,404,132.00 of which 753,954.00 was
committed from ITTO and the balance from counterpart funding. During the execution of
the project US$ 162,814.00 were added to the budget, of which US$ 15,000.00
represented the bank interest earned from the ITTO amount and the balance from
counterpart funding.
2. Project Context
Institutional and legal framework
In 1965, Brazil enacted a Forestry Code by Law Nº 4.771 which established the
conduct and regulation of the forestry sector. In 1986 some provisions of this Code were
changed by the National Congress (Law Nº 7.511), to “deter the indiscriminate
exploitation and devastation of the forests in the country”. The permanently preserved
areas increased and the transformation of forests was prohibited. In 1987 a regulation
(Nº449-P/IBDF) prescribed that forest exploitation in the Legal Amazon was contingent
upon approval of a forest management plan. Since 1988 the environment is expressly
mentioned in the new Brazilian Constitution (Chapter VI, Article 225). In “Our Nature
Program” a series of instruments related to the conservation and sustainable use of forest
resources in the Amazon Region are reviewed. After the creation of IBAMA (the
Brazilian Institute for Environment and Renewable Natural Resources) in 1989, a series
of regulations to regulate the forest sector was enacted. Most recently the new regulations
for forest management emphasized the sustainable and planned use of natural forests in
the region.
The present project, through the participation of IBAMA and other state
government environmental institutions, has helped improve the existing programs and
contributed to their application in the praxis.
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Relationship to sectoral policies affecting tropical timber
This project has encouraged timber enterprises to adopt good management
practices in forest operations in the Eastern Brazilian Amazon. The project has a potential
to provide technical background and institutional capacity to improve national and
regional forest policies related to forest management in the Brazilian Amazon, as well as
in other Amazon countries. The project integrated RIH and silviculture techniques with
key managerial tools to enable timber enterprises a more cost-efficient control and
planning of their operations. It also focused on the development of a monitoring system to
evaluate the ecological, social and economic impacts of the FMS. The effects of political
and legal frame conditions were considered and socioeconomic impacts of “good” forest
management evaluated.
These goals and outcomes are consistent with and relevant to national policies not
only of Brazil but also to countries throughout the Latin America and Caribbean region.
Since the project was conducted in Brazil, the specific laws and policies of this country
were considered. The participation of governmental institutions in the project ensured
political relevance of project outcomes.
Indirectly, the project provided important information to help forest authorities in
implementing, monitoring and auditing effective and sustainable forest management.
Relationship to subsectoral aims and programs
Recently, politicians and governmental institutions in Brazil have demonstrated
an increasing interest in an efficient and more sustainable use of forest resources. This
translates into a variety of specific programs, often supported by international
governmental and nongovernmental organizations. The greatest example is the Pilot
Program for the Conservation of Brazilian Rainforests (known as PPG7). Consequently,
environmental aspects, including the forest sector, take part in all state constitutions.
This project has supported these programs by providing training, particularly on
harvesting techniques and forest management planning. It has disseminated technology
through field days directed to forest enterprises, loggers, decision-makers, advisors,
researches and students. The executing agency, Embrapa, organized workshops and
seminars, and produced a home-page (www.cpatu.embrapa.br/BomManejo), folders,
banners and many technical and scientific papers.
Compliance with ITTO objectives
This project was consistent with the following ITTO objectives as stipulated in Article 1
of the ITTO (1994):
c) To contribute to the process of sustainable development;
d) To enhance the capacity of members to implement a strategy for achieving exports of
tropical timber and timber products from sustainability managed resources by the year
2000;
f) To promote and support research and development with a view to improving forest
management and efficiency of wood utilization as well as increasing the capacity to
conserve and, enhance other forest values in timber producing tropical forests;
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l) To encourage members to develop national policies aimed at sustainable utilization and
conservation of timber producing forests and their genetic resources and at maintaining
the ecological balance in the regions concerned, in the context of tropical timber trade.
Compliance with ITTO criteria
This project lied within the framework of the Committee on Reforestation and Forest
Management and its mainly related to the forest management area. It was also in line with
the objectives defined by this Committee (ITTO, 1994, Article 27):
b) Encourage the increase of technical assistance and transfer of technology in the fields
of reforestation and forest management to developing countries;
c) Follow up on-going activities in the field, and identify and consider problems and
possible solutions to them in cooperation with the competent organizations;
e) Facilitate the transfer of knowledge in the field of reforestation and forest management
with the assistance of competent organizations.
Relationship to ITTO Action Plan and Priorities
This project was consistent with the ITTO Action Plan and was related to the major
objectives of the Committee on Reforestation and Forest Management which are to
promote the development of national policies and to support the development and
implementation of sustainable forest management systems. This project was related to the
following priorities defined in the ITTO Action Plan:
- Forestry sector policy review;
- Studies on the economic and financial costs and benefits of forest management;
- Identification of field demonstration projects where sustainable production of timber
and non-timber products may be combined;
- Comparative assessment of silvicultural treatment on permanent sample plots;
- Study on the effect of different levels of timber harvesting on forest sustainability;
- Promoting and financing demonstration projects for different models, and regional/sub-
regional networks of such projects;
- Promoting regional studies to assess the current situation and to project the minimal
manpower requirements needed for sustainable manpower;
- Preparing manuals related to technical environment, financial, economic and
manpower aspects;
- Specification of training requirements for forest management and administration;
- Financing exchange visits and workshops participation by technical personnel.
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3. Project Design and Organisation
Adequacy of the results of the “identification phase” (correct definition of problems
to be tackled, choosing the best alternative route for project implementation, etc.)
The principal problem identified original project proposal, the conversion of huge
areas with primary forests into agricultural crops or pasture land, or their depletion by
inadequate logging practices, is persisting. Still, these activities destroy or significantly
reduce the economic potential of the forests and cause extremely negative social and
ecological impacts. The socio-economic and ecological potential for a more effective and
sustainable use of these resources are still widely ignored. Correctly, timber exploitation
has been identified as a pioneer activity in the destructive process affecting their natural
resources. This problems are attributed to the abundance of relatively cheap timber from
unsustainable sources and other causes such as the lack of interest shown by timber
producers to adopt new technologies; lack of knowledge of foresters and loggers of what
“good management practices” are; lack of training in low impact management techniques;
lack of financial and credit incentives for natural forest management.
The projects’ strategy of establishing demonstration sites in a commercial scale
and to develop silvicultural and managerial forest management tools in tight collaboration
with Amazonian timber enterprises was successful, however, not sufficient. As envisaged
in the original proposal, it became even more obvious, that the simple availability of
information and tools for good forest management can’t be sufficient to significantly
increase the adoption rate. In addition, intelligent strategies for the effective dissemination
of existing knowledge is necessary as well as a targeted promotion of timber enterprises
interested and open for implementing good forest management practices.
Against this background, the conditions for achieving better results in the attempt
for reaching Amazonian timber enterprises ha been positively changed during the last
eight years, also as an effect of the project. Most important, a reasonable number of
timber enterprises became interested and open for change, the government enable legal,
but controlled, access to huge areas of public forests and invested in training facilities, as
well as, a set of validated and useful forest management tools is available.
Sound conceptual foundation of the project (project rationale, corret perception and
external influences etc.)
The initial approach of concentrating not only on the development of silvicultural but also
managerial tools has been proofed as highly relevant for success. It is not mainly the
technical barriers responsible for the insufficient quality of forest management in the
Amazon, but the lack of professional capacity in the administration and management of
the enterprises. In this sense, it became clear that the active cooperation with the timber
enterprises was extremely positive, as this cooperation contributed to a confidence
building better understanding of research and governmental organisations and timber
enterprises, and guaranteed the relevance and quality of the generated outcomes.
Very helpful was the fact that the new government, which started in the year 2002, with
their strategic guidelines as well as due to specific measures with relevance for the timber
sector in the Amazon, contributed to the strategic approach of the project. Thereby, a very
fruitful exchange between the project and decision makers took place.
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Adequacy of time and other resources for project formulation
The initially planned two years for the first project phases would have been definitively
too short to generate the final project outcomes. In this sense the grave administrative
difficulties, provoked by the need to search for effective mechanisms for the
administration of funding after the closure of the financial department of ABC, and the
end resulted very positive. Once because, in particular, during the first project phases, the
partner enterprises became donors themselves, by providing significant financial input to
keep the project on going. As a consequent, they became actively engaged, highly
motivated and interested in the project. Second, due to the duration of the project, it was
possible to strategically respond to opportunities and demands resulting from a changing
political environment.
Understanding and appropriateness of the roles and responsibilities of the
institutions involved with the project implementation
As mentioned above, the breakdown of ABC as fund administrator caused significant
problems to the project, even more as also Embrapa showed a certain institutional
incompetence to effectively administer international funding. Thus, it took enormous and
highly bureaucratic efforts to establish an effective fund administration mechanism,
acceptable for ITTO. Project coordination, however, was quit effective and dealing with
this difficult situation, and the partner enterprises of the project, became much stronger
and more actively involved in the project as planned. At the end the own input of all
actively involved organisations, in particular Embrapa, Cifor, IFT and the partner
enterprises, was much higher than originally planned. As their cooperation was
commendable and highly effective, it was possible to exceed initial expectations to the
project and to achieve a significant positive effect on the further promotion of sustainable
forest management in the region.
Beneficiary involvement with the project efforts and actions
As mentioned above, timber enterprises as principal direct beneficiaries of the project
were actively involved as equal partner of the project consortium. Due to their interest,
they even ensured projects’ continuation during the initial project phase characterized by
strong administrative difficulties to establish an effective mechanism for the management
of the budget acceptable to ITTO. As a consequence, the partner enterprises were highly
interested and actively engaged in nearly all project activities.
This is also true for governmental agencies regarding the development of the tool for
auditing forest management projects. Here the effective cooperation with the
governmental authorities ensured the development and implementation of an auditing
tool, which positively influences the entire forest sector.
4. Project implementation
The most critical differences between planned and actual project implementation
(costs, components, schedules, Outputs achievement etc.)
There have been a number of significant differences between the planned and actual
project implementation, in particular:
- Extended duration: instead of two years, the 1st project phases took nearly seven years.
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- Higher costs: due to the extended project duration, the costs for the project activities
were considerably higher.
- Input of partners: as the overall financial contribution of ITTO remains the same, the
project partners, in particular Embrapa, Cifor and the partner enterprises, put
significantly more own resources into the project as planned.
- Elimination of outcomes: Some of the planned outcomes haven’t been generated, as
becoming obsolete or not meaningful. All changes have been presented and approved
by the Steering Committee and ITTO.
- Adding of outcomes: A number of additional outcomes has been add as being highly
relevant for the forest sector. All changes have been presented and approved by the
Steering Committee and ITTO.
- Changes of the plan of the activities: As result of adjustments in time planning and the
list of outcomes, the activity plan had been changed profoundly. All changes have
been presented and approved by the Steering Committee and ITTO.
- Second partner enterprise: due to the high expectations, a second timber enterprise
became part of the project consortium. As no budget was foreseen for a second
partner, all project activities with this partner were financed by the partner enterprise
themselves.
Measure and actions which could have avoided these variations
Principal motive for the above mentioned variations was that ABC shortly after the
approval of the project, decided not to continue administrating international funding for
research projects in Brazil. This decision was not predictable. As Embrapa, as executing
agency, was institutionally and logistically not prepared to take over the responsibility for
the administration of project funding, in particular, related to human resources, it was not
possible to contract the urgently needed project staff.
The actual proposal for the 2nd
project phase, is considering these experiences, and
provides an effective mechanism for the administration of project funds ensuring the
possibility of contracting the project staff.
Appropriateness of the assumptions made and correct identification of risks
involved
The original project proposal considered the following risks: partnership with a private
company, fluctuation of technical staff, inter-institutional character of the project and long
time horizon, from which all still seems quit relevant. The actual problem of financial
administration occurred during the project, however, has not been predicted, and thus, no
appropriate alternatives were prepared.
Project sustainability after project completion as a result of project implementation
conditions
As described in the profoundly revised proposal for the 2nd
project phases, the
sustainability of the positive effects of the project, depend to a certain degree on the
development of effective dissemination strategies. Therefore, the identification of funding
sources for the 2nd
project phase is highly important to use the potential generated by the
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project to further increase the adoption rate of good forest management practices by
Amazonian timber enterprises.
Appropriateness of project inputs (quality and quantity)
All project inputs proofed to be highly appropriate
5. Project Results
Situation existing at project completion as compared to the pre-project situation
Several indicators suggest that compared with the pre-project situation, the forest sector is
moving slowly, but steadily forward toward improving good forest management. These
indicators include the following:
- IBAMA and SEMA have adopted Technical Guidelines for Forest Management
developed by the project and are being applying them when they evaluate forest
management in the field and annual operations plans. To continue operating legally,
enterprises must abide by these guidelines. Embrapa infers that the number of
enterprises applying Technical Guidelines for Forest Management is greater now than
before this project began.
- IBAMA and SEMA are now more rigorously auditing timber enterprises across the
Amazon. Field auditors have a detailed Auditing Manual developed by the project,
enclosing all auditing procedures to be applied in a forest management unit. The
auditors do not approve the annual operate plans unless the enterprises are
implementing the Technical Guidelines for Forest Management
- The interest in certificating forest areas and consequent increase in demand for
adopting Technical Guidelines for Forest Management enterprises seeking to obtain
certification.
Extent to which the project Specific Objectives were achieved
Indicators that the project successfully achieved the specific objective include:
- A Forest Management System (FMS) for effective and sustainable use of forest
resources by medium and large size timber enterprises in the terra firme forests of the
Brazilian Amazon was developed, tested, evaluated and is being used by forest
enterprises in the Brazilian Amazonia.
- The Project has promoted a wide dissemination of the FMS (through field days,
training, courses, seminar, publications and technical meetings) amongst medium and
large size timber enterprises in the terra firme forests of the Brazilian Amazon,
including those interested in certification and good forest management. A strategy and
mechanism to continue disseminating and transferring the FMS to timber enterprises
of the Brazilian Amazon was defined with the participation of relevant parties to be
applied in the Project Second Phase, starting in 2009.
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Impact of the project results on the sectoral programs, on the physical environment,
on the social environment, on the target beneficiaries
The project impact on sectoral programmes can be noted on federal and state
forest regulators (IBAMA and SEMA) adopting Technical Guidelines for Forest
Management and Auditing Procedures developed and promoted by the project.
The project has had a positive impact on the physical environment because its
researches have shown that Reduced Impact Logging reduces physical impacts of
harvesting on the remaining forest and also reduces the amount of wood waste. Reduced
Impact Logging is being applied in the forest areas that are currently certified in the
Brazilian Amazon. The project partners (Juruá and Cikel) were the two first timber
enterprises that have their forest areas certified.
Timber enterprises that apply Technical Guidelines for Forest Management,
mainly those certified, have given employment stability to their employees that have been
trained to apply the Guidelines. The forest workers are employed according to the Work
Brazilian Law receiving all the social benefits.
6. Synthesis of the Analysis
(a) Specific Objectives Achievement Completed
(b) Outputs Completed
(c) Schedule Delayed, but not seriously
(d) Actual Expenditures > 10% above planned
(e) Potential for replication Significant potential
(f) Potential for scaling-up Significant potential
PART III: CONCLUSIONS AND RECOMMENDATIONS
(a) Development Lessons
A better understanding of how timber industries work/operate provides important
insights to devise more adequate strategies (e.g. incentives/disincentives) for promoting
higher adoption of sustainable forest management (SFM).
The shift from conventional logging to good forest management requires
considerable investments in equipment (in particular for skidding operations) and human
resources (qualified staff, training) as well as strong organizational adjustments within the
enterprise. Thus, the success to achieve such change depends mainly of the managerial
capacity.
Effective mechanisms for the transfer of good forest management tools is crucial
for further success and should include mechanisms for on-site training and supervision.
The social aspects are crucial for the long-term success of good forest
management.
Forest enterprises are capable to develop technological innovations.
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Reduced impact harvesting (RIH) does not constitute a technical problem but a
cultural challenge.
Besides Reduced Impact Logging techniques, it is highly difficult that forest
enterprises effectively implement long-term management practices under the current
conditions.
Timber commercialization is a crucial factor for the profitability of enterprise’
forest operations.
The experience of Embrapa on forest research and the lessons that it has learned
over the past 30 years on management of Amazonian natural forests contributed
substantially to the project’s success;
The support of partners, collaborators and associates greatly contributed to the
project’s success.
The greater acceptance by both the general public and the private sector that good
forest management can contribute to forest conservation and a better economy was
important. This positive change in attitude also contributed to the project’s success.
Continuing to convince or pressure government agencies, the forest sector, and
the public to develop a sustainable forest products sector will be necessary to sustain the
benefits of this project, and to further advance forest management as a means of
sustainable development in the Amazon. Furthermore, these stakeholders must be willing
and able to invest in the needed training and capacity building to develop the sector
accordingly.
(b) Operational Lessons
The profitability of enterprise operations mainly depends on the professional
capacity of its management unit.
The administrative separation between the enterprise’ forest and industrial sectors
is crucial to improve management
Careful financial documentation is critical especially when there are multiple
partners in the project. This project reinforced the need for careful documentation not only
for audits, but also for administrative and operational effectiveness.
Steering Committee oversight is an important part of the project. There should
have been more field visits during Steering Committee meetings.
Project planning was especially important in this project because most of the
activities took place in Forest Management Units where communication was difficult.
Thus, detailed planning was essential, and an equivalent level of planning should take
place in all similar projects. The logistic aspects of all of these items had to be carefully
planned.
At no time during the project were the scheduled activities compromised due to
inadequate planning. The reason for this success was substantial staff experience, constant
monitoring, vigilance, supervision, and evaluation of the day-to-day situation.
Contingency plans and preventive actions should be in place to ensure that
implementation proceeds according to foreseen plans. Embrapa made sure to develop
such plans based on its operational experience. At the same time, Embrapa included a
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certain amount of flexibility and alternative options in the schedule and overall plans to
account for unexpected changes or events.
Planning for financial variations was difficult in this project (and probably will be
for most projects). The project had to take a rather drastic cost reduction program, which
affected significantly the organization and the project staff, but fortunately did not
compromise the project’s results or its effectiveness. The receipt of additional counterpart
support (CNPq and Brazilian Forest Service) helped to ensure that the project successfully
completed the planned activities and expected products.
(c) Recommendations for future projects
Identification
Several issues should be resolved before determining that a project involving
practical Forest Management System is necessary. Future project formulators must
consider these issues by asking the following questions:
- Is production forestry viable and appropriate in the region forests or should they only
be considered as preservation forests?
- Are the forests located where a viable wood industry sector exists or could become a
reality and are markets for the forest products available?
- Is there pressure for land conversion and if so to what extent? If so, is conversion of
the land for other uses appropriate?
- Does a government zoning plan exist for the area of action?
- Is the public aware of the use and benefits of FM? Is the state actively involved in
generating awareness for forest conservation?
Design
Scientific approaches that seek their practical application have to be simple,
considering enterprises’ capacities and their resistance to innovations
It is necessary to create the conditions to promote changes in the behaviour of
forest enterprises. Enterprises’ acknowledgement of the benefits of good forest
management practices can contribute to their adoption as well as tools that allow to
significantly increase the quality and efficiency of forest management, especially in the
planning and monitoring operations.
More effective tools are needed for auditing and control of timber harvesting.
Greater investments are needed for human and financial resources in government
entities responsible for auditing and control of forest management.
Strategic land use planning in frontier zones needs to be improved.
Establish collaboration partnerships with enterprises based on mutually agreed
interests, responsibilities and accountability.
All partnerships for project implementation should be written out and agreed to
on a formal basis. These partnerships should be developed to provide the greatest number
of and variety of stakeholders.
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The project site should be chosen to reflect the full range of factors affecting
forest management, including forest type, topography, soil type, and forest products or
uses (timber, NTFPs, and other forest uses).
Project designers should consider whether the forest products processing sector
needs upgrading and training. If so, designers should consider implementing a project that
combines training for forest management as well as for forest products processing.
Strong multi-sector support should be guaranteed during the design phase of the
project. Every effort should be made to convince all relevant stakeholders of the project’s
benefits before the implementation phase.
Implementation
Four aspects have been proved as crucial for the effective implementation of the project:
- A consortium of project partners, whose cooperation bases on intensive
communication and working experiences
- The active involvement of the project beneficiaries as project partners
- The availability of qualified and dedicated project staff
- Effective mechanisms for project fund administration.
Organisation
More proactive communication strategies and forms are required from ITTO.
The Executing Agency should promote institutional changes to establish more
favourable conditions for project administration with international funding
The Executing Agency should sub-contract non-governmental organizations for
human resources administration
The organization of the project can either be a government (or semi-government)
organization or a NGO. At present, Embrapa suggests that the entity would be most
efficient if it were an independent NGO with direct connections to government
organizations because it would have the efficiency of an NGO but have the support and
backing of government organizations.
If the organization is to be an NGO, it should have a Board of Directors the
members of which can (and will) support the proposed activities either financially,
administratively, or technically. If the organization is a government or semi-government
entity, it is important that there be a technical advisory committee comprising practical
and highly qualified people who could carry out similar functions as a board of directors.
In this case, the members of the advisory committee should not only represent partners,
but also the scientific community, the private industrial sector, and educational
institutions.
Regardless of whether the executing entity is from the public sector or an NGO, it
should create strong partnerships. These partnerships should be functional; they should
not only support the project’s activities, but also complement the project (e.g., participate
in research and development, education, and in the forest products sector). These
partnerships should be formalized and legalized.
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The basic management structure will be divided between administrative,
operational and research and development component.
Management
The new approach for auditing forest management plans represents an
opportunity to gradually improve the practiced management, based on the guiding and
supervision with regards to the implementation of impact-mitigating forest management
practices. Thus, audits can serve as a vehicle to get as positive interaction between the
auditing entities and those responsible for forest management plans.
The involvement of social assistants in enterprises’ work seems necessary.
The likelihood of invasion to the forest management area during the first cutting
cycle is quite high, particularly if enterprise operations do not continue after the first
timber harvesting. It is necessary to devise innovative strategies in relation to how forest
enterprises can contribute to social stability in the zone they operate.
A secure access to sufficiently large management areas is essential for motivating
enterprises to invest in equipment and personnel.
More effective tools need to be implemented.
Managers need to be trained.
A continuous supervision of on-the-ground training is required.
Continuous and strategic training efforts are required.
Secure the applicability of the scientific recommendations.
Management should encourage and respond to suggestions for improvements
from the staff as well as from outside sources. The latter include partner organizations
(research institutions, universities, government environmental agencies, timber
enterprise).
Establishing a cooperative team spirit is recommended in any project. In projects
located in remote areas, where the staff experiences substantial repetition over time, it is
extremely important that management not only does quality selection of the staff but also
stimulates their team spirit and sense of achievement.
Responsible for the Report
Name: João Olegário Pereira de Carvalho Position held: Project Coordinator
Date: 28.05.2008
