INTERNATIONAL TROPICAL TIMBER ORGANIZATIONTAKING STOCK OF THE IMPLEMENTATION OF
TFLET AND REDDES THEMATIC PROGRAMMESACHIEVEMENTS AND IMPLEMENTATION ISSUES OF THE ITTO
THEMATIC PROGRAMMES ON REDUCING DEFORESTATION AND
FOREST DEGRADATION AND ENHANCING ENVIRONMENTALSERVICES (REDDES) AND FOREST LAW ENFORCEMENT,
GOVERNANCE AND TRADE (TFLET)

Final report

Markku Simula
Consultant

9 June 2015

i

EXECUTIVE SUMMARY
The report is a response to a need for assessing progress in the implementation of ITTO’s two Thematic Programmes (TP) that have received significant funding to date: Forest Law Enforcement, Governance and Trade (TFLET), and Reducing Deforestation and Forest Degradation and Enhancing Environmental Services in Tropical Forests (REDDES) as part of knowledge management of the organization. The purpose of the report is to provide a synthesis of the aggregated achievements of thecompleted pre-projects and projects and their lessons learned. During the assessment, the scope
was expanded to cover also the projects that are being implemented.
The stocktaking assessment is based on documentary review of pre-projects and projects (20 in
TFLET and 29 in REDDES) for which a methodology was developed covering the scope andachievements of the programmes. In addition, lessons learned were synthesized, complementarities
with related international initiatives were identified, and issues related to programme design, procedures, management and financing were reviewed.
ASSESSMENT OF TFLET
Programme objectives
In general, the projects cover well the first three programme objectives. Ninety percent of the projects
targeted capacity building of community and small and medium-sized enterprises (SMEs) todemonstrate that the timber traded comes from legal sources as a focus area or provided a substantial
contribution towards this objective. Strengthening forest law compliance and governance was targetedby 85 percent of the projects. About two thirds made a contribution – mostly significant – to improved
transparency and effective management of supply chains as well as increased domestic andinternational trade in legally produced timber. However, the fourth programmatic objective, i.e.,
improved international cooperation in forest law enforcement and governance, was a focus area only
in a fifth of projects.
Thematic focus
Most projects focus on institutional strengthening of forest law compliance and governance, and capacity building but also improving market transparency is substantially covered. Development of tracking systems as well as certification of forest management and chain-of-custody are targeted in half ofthe projects. Promotion of policy dialogue and exchange of experience on international and domestic
market requirements is also an element of several projects.
However, there are some areas that are considered gaps or weakly covered, notably development of
national public procurement policies, cross-border cooperation in trade from legal and sustainablesources and other international cooperation. Addressing these gaps would require proactive measuresfrom the programme side.
Level of implementation
More than half of projects are implemented at a national level and 15 percent at a local, community orenterprise level, the rest being regional or international. National projects often include local level pilot
projects.
Target groups
About two thirds of projects funded under both programmes have forest communities, indigenous
groups or SMEs as main beneficiary target groups. Government agencies are also among major
beneficiaries, which is logical because of TFLET’s emphasis on strengthening of governance. Civil
Society Organizations (CSOs) have been identified as direct or indirect targets in 90 percent of the
projects. There is usually more than one principal target group in TFLET projects.
Executing Agencies and partnerships
Government agencies are the largest group among Executing Agencies (45 percent of projects).
CSOs have been EA in 15 percent of TFLET projects and knowledge institutions in 25 percent. Partnerships are common in the programme. CSOs and various government agencies are partners inmore than half of the cases. Partnering with local communities is common in pilot projects on local
level.

iExpected benefits
Pre-project and projects are strongly oriented towards generation of economic benefits for achieving
poverty reduction. Most (85%) also target at environmental and social benefits but in only about half ofthe cases these are expected to be significant. Together with social benefits, revenue generation canensure effective forest conservation and commitment of forest communities to improved law compliance and eradication of illegal logging. Almost half of the TFLET projects are also aimed at environmental benefits as a result of strengthened governance and improved law compliance.
Applicability and replicability
In general, the completed TFLET projects could be applicable in similar conditions elsewhere. Thirty
percent of the projects were considered applicable at a national level and twenty percent at a regional
or international level. Thirty percent were considered applicable at all levels. A third of projects wereconsidered replicable in similar conditions but modifications would be required in the other cases.
Innovation content
A tenth of the projects developed a new innovation and the rest were applying adapted new technology or existing technology in new application and conditions. Technology was interpreted in the assessment broadly including new ways of working and organizing stakeholders.
Expected sustainability
In half of TFLET projects expected sustainability was assessed strongly likely, in another 30 percent
somewhat likely and in the remaining fifth sustainable only with continuous financing. However, a follow-up project was typically considered necessary but in many cases mainstreaming of project results
would also require policy revision. The main reasons for follow-up action needs are common difficulties related to implementing policy reforms and mainstreaming new innovations developed in pilot projects that tend to take time extending beyond the project duration.
TFLET achievements
The programme has made a strong progress towards all its specific objectives that appear relevant tocountry conditions. In particular, the support to communities and, to a somewhat lesser extent, to
SMEs has been well covered but it would often need to be defined how their local level engagement inlegal and sustainable supply chains could be mainstreamed.
About 80 percent of the target values of the Monitoring Protocol (MP) have been achieved in strengthening of forest law compliance and governance through national policy and legal frameworks,
strengthened enforcement and other institutions, effective partnerships and improved cooperation
among stakeholders.
Increased volumes of traded tropical timber and timber products have been targeted by eleven TFLET
projects in nine countries. A large number of partnerships in 16 countries have been established surpassing the target value (5). Less progress has been made in development of public procurement policies and codes of conduct for the industry.
Community and SME capacity to demonstrate that timber produced and traded comes from legal
sources contributing to sustainable development (the fourth objective) has been improved in six countries through 13 projects surpassing the target values. Training courses on law compliance and enforcement have been implemented in seven countries through 13 projects.
Under improved international cooperation in forest law enforcement and governance, fourteen ITTO
producing member countries are implementing the FLEGT Voluntary Partnership Agreements (VPAs)
or are in the process of negotiation. TFLET projects have provided substantial support to these processes in three countries and projects will soon be started in two more countries. In addition, TFLET
has built up capacity in six more countries to facilitate their future engagement in international and regional processes. However, no progress can be reported on improvement of trans-boundary timber
control processes.
Lessons learned
The completed pre-projects and projects have generated a wealth of lessons learned which cover subjects the following subjects: (i) awareness raising on strengthening forest governance, (ii) building human resource capacity in law enforcement, (iii) developing and implementing timber tracking systems,ii

(iv) mainstreaming innovations, (v) engaging SMEs in legal compliance, (vi) training, (vii) partnerships,(viii) inter-agency coordination and cooperation, (ix) knowledge sharing, and (x) sustainability of project impacts.
The key lessons suggest that governance reforms can only be driven by government-led initiatives,
not from outside. Strengthening of law enforcement requires much more than training of enforcement
officers which is also needed. Awareness raising and provision of information on benefits arising from
improved law compliance to communities and SMEs is necessary for which a cadre of local trainersand extension workers is required. Piloting on a sufficient large scale in representative conditions involving all stakeholders has proved to be a good approach for choosing between options for institutional arrangements and timber tracking technologies.
ASSESSMENT OF REDDESProgramme objectives
In general, the REDDES projects cover well the first four specific programme objectives, i.e., reductionof unplanned deforestation (objective a), that of forest degradation (b), climate change mitigation andother environmental services (c), and contribution to the social and economic sustainability (d). The
fifth objective (e) adaptation and resilience of tropical forests had the weakest coverage of in the projects reviewed.
Thematic focus
Almost two thirds of the projects cover assessment and diagnosis of deforestation and forest degradation, and establishment of enabling conditions and capacity building. Pilot and demonstration activities
are also frequent elements, together with policy development. Specific focus areas of the programme
are capacity building for REDD+ and payments for environmental systems (PES).
Level of implementation
About 40 per cent of the projects are implemented at the level of community/enterprise or other local
economic unit, one third are national and one fifth international. However, most projects are implemented at more than one level.
Target groups
About two thirds of REDDES projects have identified forest communities, indigenous groups or SMEs
as main beneficiaries. Forest owners and government agencies are also important target groups.
CSOs are typically identified as minor beneficiaries. The private sector is less frequently targeted.
Executing Agencies and partnerships
Government agencies are the largest group among EAs (34 percent of the projects) followed byknowledge institutions and CSOs. Partnerships are common in the work under REDDES (only 15 percent had no partners). This has also resulted in complementary financing, particularly by other government bodies. Partnering with local communities has been part of almost all the projects.
Expected benefits
In about 80 percent of the projects, expected benefits cover both economic, social and environmental
aspects. Environmental benefits are in most cases related to forest carbon but they often also covered
biodiversity and water (the latter usually implicitly). The result illustrates a common approach toaddress all the three pillars of sustainability.
Applicability and replicability
The completed projects were mostly found applicable in similar local conditions or at national level (45and 18 percent, respectively) and the rest at a regional or international level. The degree of replicability was also high.
Innovation content
The innovation content in REDDES is important as a third of the projects involve development andapplication of a new technology and a quarter used adapted new technology, in particular in forest
inventory and monitoring, and development of PES systems. The rest applied existing new technology
in new applications or conditions.

iii

Expected sustainability
One third of the pre-projects and projects appeared to have strong likelihood for sustainability, anotherthird some likelihood, and the last third sustainable only with continuous financing. However, a followup project was considered necessary in 45 percent of the projects as mainstreaming of project results(e.g., PES schemes) would require policy adjustment.
REDDES achievements
The programme has significantly contributed to progress towards all its specific objectives. In particular, support to communities and payments for environmental services have been well covered. The
review shows that most of the sixteen outputs identified in the Monitoring Protocol are more thanachieved or in process by the project portfolio.
In avoided deforestation, restoration or conservation the main focus area is to increase the area under
SFM through 19 projects in 16 countries (MP target 6 countries). One third of the projects develop forest monitoring contributing to quantification of carbon stocks in 12 countries (target 2). A quarter workon demonstration in restoration of degraded forests.
Two thirds of the projects in 10 countries aim at income generation based on forest related environmental services and other forest outputs by local communities. This demonstrates the fact that local
income generation is a precondition for effective forest conservation. Increased women participation isa specific target in seven projects but other community forest related projects supporting income generation also benefit women albeit not explicitly stated.
Capacity building to implement policy reforms work has been carried out or is in process throughdifferent modalities in six projects in five countries. Fifteen countries have benefited from capacity
building to implement SFM, forest restoration and rehabilitation through various training outputs with
about 2,900 participants (target 300).
Development of PES incentive mechanisms have been part of 13 REDDES projects in 11 countries(target 3) demonstrating a stronger demand for support in this area than expected. Demonstration
areas were established or are in the process in 17 projects in 11 countries (target 3). Communities are
directly involved in the development of PES mechanisms in 15 projects in 10 countries.
There are two strategic issues that would merit rethinking on how they should be addressed in the
REDDES strategy, i.e., adaptation and landscape restoration linked with restoration and rehabilitation.
Establishment of permanent forest estate and strengthening of tenure and user rights may also needmore attention in the future. Proactive measures are probably needed by ITTO to fill these and someother gaps (e.g. the development of national C&I for SFM).
Lessons learned
The lessons learned from the completed pre-projects and projects are summarized under the following
subject areas: (i) development of mechanisms for payment for environmental services, (ii) advancing
REDD+ implementation through REDDES, (iii) stakeholder participation, (iv) implementing the landscape approach, (v) poverty reduction and improvement of food security, (vi) field level demonstration,(vii) private sector participation in reduction of deforestation and forest degradation, (viii) governance,(ix) training, (x) dissemination of knowledge, (xi) mainstreaming of results, and (xii) ensuring sustainability. Selected project examples have been identified on strengths and weaknesses of past experience.
A key lesson is that SFM is an important option to reduce emissions from deforestation and forest
degradation provided that a set of preconditions are met related to availability of information,
institutional support and provision of incentives. There is a close relationship between conservationand development; i.e. realizing sustained biodiversity conservation requires sustained community
development, including in terms of economic benefits.
Project strategies could benefit from three parallel interventions, i.e. strengthening of the institutionaland community capacity, conservation and restoration of tropical forests for REDD+ and otherenvironmental services, and improvement of local livelihoods.

iv

COMMON ASPECTS ON DESIGN, IMPLEMENTATION AND OUTPUTS OF BOTH PROGRAMMESProgramme design
While the Thematic Programme Documents (TPDs) have provided an appropriate framework for implementation during the first seven years, they would benefit from updating in order to take into account recent international developments, actual demand for, and supply of, funding, and lessons
learned. Some specific objectives are general by nature not providing a clear strategic focus while taking into account linkages with other programmes. There is even more need for revising the Monitoring
Protocols to make them more applicable for setting targets and measuring progress. Some identified
outputs are more outcomes than outputs, some are defined in unnecessary detail, and many of themoverlap with each other.
Problem analysis
The programme level problem analyses in the TPDs have provided a largely relevant framework for
project design. However, they have limitations as there is a wide variation in national and local conditions. In TFLET proponents tend to exclude from problem analyses politically sensitive elements suchas silent acceptability of illegalities, corruption, distorted incentives and trans-boundary trafficking oftimber and timber products. In REDDES forest and land tenure has only fairly rarely been duly covered in project level problem analysis.
Risk analysis
In spite of having a number of good examples, risk analysis appears to be a somewhat problematicarea in project design. It often appears superficial and therefore pre-identification of mitigation
measures is also weak. One third of the REDDES projects did not include a risk analysis at all.
Quality of implementation and outputs
In general, the performance of Executing Agencies appears good or satisfactory but in a few projects
problems were identified with partners. The overall quality of project documentation and technical reports can be considered good with a good number of outstanding reports. Unfortunately, a few weakertechnical documents were also encountered. However, a typical problem is that policy proposals andother recommendations have often been made without due consideration of their practical consequences and financial requirements. The quality of implementation depends on supervision and guidance from the EA management as well as on quality of monitoring and advice from the Secretariat.
External assistance has been drawn on when adequate local competence was not available, but notalways.
PROGRAMMATIC LINKAGES AND COMPLEMENTARITIES
Linkages between Thematic Programmes
TFLET and REDDES have clearly differentiated objectives. However, both programmes share thecommon objective to improve the wellbeing of local communities through sustainable management of
their forest resources. Good governance is fundamental to provide enabling conditions and promotionof SFM is a strategic element in both programmes that focus on forest dependent communities as anultimate target group. These linkages offer opportunities for further harnessing synergies
TFLET and the Trade and Market Transparency (TMT) Thematic Programme are mutually supportive.
They share similar objectives in improving market transparency and increasing production and trade.
TMT complements TFLET in improving market transparency and building up capacity among SMEs torealize the benefits from legal compliance and implementation of SFM. TFLET has also a close linkage with the ITTO/CITES Programme.
Both REDDES and the Community Forest Management and Enterprise (CFME) TP share the samegeneral objective to contribute to the social and economic wellbeing of forest-dependent communities
even though their strategies are different, CFME focusing on SFM and promoting added value production. Complementarity also derives from the fact that conservation efforts have best chances to succeed if they can result in net economic benefits for local communities and indigenous groups.
Regular cycle projects and Thematic Programmes
A large number of regular cycle projects approved since 2008 directly or indirectly contributed to
REDDES and TFLET objectives and could have been funded through these thematic programmes,v

had there been funds available. In the case of TFLET-related pre-projects/projects, the regular cycle
has contributed USD 20.9 million or 1.7 times more funding than TFLET. The REDDES-related regularpre-projects/projects received a total funding of USD 35.3 million or 3.7 times more than the TP itself.
Therefore, the stocktaking carried out provides only a partial view of ITTO’s work towards the TP objectives.
Complementarities between TFLET and other international initiatives
Several international, regional and bilateral initiatives have objectives related to strengthening of forest
governance and law enforcement either as the main focus area or part of their objectives. The EUFAO FLEGT Programme is particularly comparable to TFLET. While the two programmes share similar general objectives, there are differences in their specific objectives. EU-FAO FLEGT focuses on
promotion of the EU FLEGT principles and VPAs while TFLET is broader. In practice, there are close
linkages and some overlaps. Synergies have not, however, been operationally harnessed. This is partly due to the demand driven modus operandi in both initiatives (call for proposals). Procedures are
somewhat different and also the donor bases are different as the EU-FAO FLEGT is completely financed by the European Union which has not participated in TFLET funding.
Complementarities between REDDES and other international initiatives
Two international programmes were analyzed in relation to REDDES: the UN-REDD Programme andthe Readiness Fund of the Forest Carbon Partnership Fund (FCPF). The general objectives of thethree are common and they sustainable management of forests, enhanced stakeholder participation,
capacity building, and national planning for low carbon sustainable development with forest related
interventions. Thematically, REDDES has the broadest approach and its focus is on practical implementation through demonstration and pilot projects implemented by communities, the private sector
and other stakeholders.
REDDES applies a demand driven approach and it does not require compliance with pre-determined
phases which have taken long periods to implement. Therefore, it does not suffer from delays in disbursement and its transaction costs are low. However, these competitive advantages are underminedby limited financial resources (not encountered in the other two international programmes). This has
led to a situation in which REDDES projects have often been delinked from the other REDD+ programmes, partly due to the lack of interest by others in cooperation and perhaps lack of sufficient initiative from the ITTO side.
PROGRAMME IMPLEMENTATION AND FINANCING
Strengthening of the programmatic approach
The Programme Documents were elaborated with the intention to provide a strategic response to priority issues in different country situations, to offer all stakeholders an equal opportunity to participate,
and to promote innovation. However, there is a perception among donors and some other stakeholders that TFLET and REDDES are still just a collection of individual projects, albeit within a common
framework. The programmes will have to become more programmatic if there is a clear perspectivethat adequate regular funding will be forthcoming.
Building on the results of the 2013 effectiveness assessment and this stocktaking, six non-exclusive
options for improving the programmatic approach are identified:(i)Introducing the modality of targeted calls for proposals to address gaps and priorities; such calls
can be targeted at specific thematic area or geographic region or sub-region.

(ii)

New thematic sub-programmes for selected priority themes of common interest to members could
be set up drawing on the experience of the ITTO-CITES Programme.

(iii) Improving the programmatic approach at country level through (a) development of national plansfor implementing a Thematic Programme; (b) reactivation of the country level diagnostic studies
that were carried out in the past; and (c) implementation of the pilot country approach provided in
the REDDES programme document.
(iv)

Improving the programmatic approach on international and regional/sub-regional levels through
ITTO’s proactive role to initiate and implement necessary activities such as analytical work onvi

policy instruments and financing mechanisms, development of training packages and validated,broadly applicable technologies, information sharing, and regional and cross-country cooperation.
(v) Improving the programmatic approach thematically through other ITTO instruments (Strategic
Action Plan, Biennial Work Programmes and the regular cycle project work) to more transparency
and strengthened functional links.
(vi) Harnessing synergies with other relevant initiatives (particularly UN-REDD, FCPF, and EU-FAO
FLEGT Programme) through improved communication and promotion of mutual engagement in
the implementation of each other’s activities.
Improving the quality of proposals
Addressing weaknesses in proposal quality needs a more proactive approach than in the past, as
there are earmarked resources available for this purpose in the TPs. Three options are proposed forconsideration to improve the situation provided that there is a perspective of expanded funding for
TPs: (a) carry out consultations with new members and other priority countries on the need/possibilityof support for country level diagnostic studies, national action plan preparation and project formulation;(b) support finalization of weak proposals with potential in terms of innovation, broad applicability andreplication, and knowledge sharing; and (c) continue strengthening the pool of qualified project formulation and implementation specialists in ITTO producing member countries.
Management of TPs as programmes
TP projects are managed and monitored like regular cycle projects rather than as a pool ofthematically linked activities. There should be more clarity on technical management responsibility andthe only logical option would be to assign it to the Assistant Director of each division as long as the
programmes do not become so large that recruitment of a designated Programme Manager becomes
justified. Technical management responsibilities could be partly delegated to Project Managers.
ITTO has presently two almost identical processes for project appraisal which work independently
from each other, one involving Thematic Programme Advisory Committees (TPAC) for TPs and theother involving the Expert Panel on Project Appraisal for the regular project cycle. These procedures
could be harmonized considering the experience gained in the thematic programmes.
Simplification of programme procedures
Although the innovative TP procedures are faster and represent lower transaction costs than in thecase of regular cycle projects, they could be improved. Parts of the project formulation requirements
are excessively complex and could be simplified. The ITTO/CITES Programme experience offers anumber of lessons for TP implementation.
Improving knowledge management
In view of the broad applicability of lessons learned and knowledge products developed under the twoTPs, their effective sharing is critical for capitalizing the investment made by ITTO and its donors.
Considerable effort has already been made to disseminate the results of the two TPs through a broad
range of tools, including the recent Project search facility in the ITTO website.
Knowledge sharing is a crosscutting activity and mostly related to thematic issues, are lessons learned
generated through TPs or the regular project cycle. Separating the two would be a sign of working insilos, which should be avoided.
Funding of thematic programmes
None of the TPs has received full regular funding and no pledges have been received since 2013. Inadequate resources have become the most serious obstacle for effective implementation of TFLET
and REDDES.
Donors cannot earmark their funding within TPs, which has apparently negatively influenced the interest of some of them in using this instrument. However, TPs were introduced upon donor initiatives tohave a more strategic approach to the organization’s project work and to respond to a common wish
to move towards unearmarked funding. This worked during the pilot phase but has faded out since
then.

vii

Nevertheless, even with the limited funding available, the pre-projects, projects and activities of the
two TPs reviewed have enabled substantial achievement in terms of the intended outputs. In casenew funding cannot be mobilized, implementation of the two TPs will end when all the on-going projects have been completed. This report has tried to generate information and identify a series ofmeasures to avoid this.
RECOMMENDATIONS
1. Update the programme design
1.1 The Programme Documents and the Monitoring Protocols should be revised together with procedures and other guidance for implementation to achieve increased responsiveness and agility,
together with reduced transaction costs.
1.2 The theory of change should be clarified in the TPDs. A well-articulated theory of change would
help improve the programmes’ strategy as well as communication to donors, potential partners
and other stakeholders.
1.3 Proper guidance should be provided for how project outputs should be reported in monitoring andcompletion reports as the present practice is inadequate not resulting in systematic compilation ofcomprehensive information on outputs and achievements at the programme level.
2. Strengthen the programmatic approach
2.1 A modality for targeted thematic and geographic calls for proposals should be introduced in orderto facilitate resource mobilization.
2.2 Drawing on the experience of the ITTO-CITES Programme, the concept of thematic subprogrammes should be considered in order to provide strategic response to emerging priority issues. In this context, counterpart agencies in producing member countries should be identified
and their role could be formalized in TP implementation, in view of the limited capacity of national
Focal Points to assist in thematic areas that may not fall under the mandate of their own agencies.
2.3 The identified proactive measures should be taken to improve programme-level impacts at country, regional and international levels, as appropriate.
2.4 The thematic links between the TPs, SAP and BWPs as well as the regular cycle project work
should be strengthened and considered in monitoring and evaluation.
3.

Harness synergies with other international initiatives

3.1 Complementarities between ITTO’s Thematic Programmes and related international initiatives
should be effectively communicated emphasizing the TP value added to potential partners as
such information is critical also for the main donors.
3.2 As there are apparent synergies between TFLET and the EU-FAO FLEGT Programme, possibilities for cooperation and coordination should be jointly explored by FAO and ITTO, in consultation
with the EU, in order to leverage impacts of the two initiatives.
3.3 ITTO should regularly participate in the FCPF/UN-REDD Policy Board meetings and present the
REDDES projects and programmes to enhance cooperation and generate new ideas for joint actions.
3.4 Related agencies such as FAO, UN-REDD, FCPF and others should be re-invited to participate in
TPACs (if these continue to operate) provided that adequate regular funding for implementation
can be mobilized.

viii

4.

Strengthen the programme management

4.1 Proactive measures should be taken to assist (a) priority countries with no or limited past support,and (b) project proponents in finalizing their weak proposals with potential for innovation, broad
applicability/replication, and knowledge sharing.
4.2 Technical management responsibility of the thematic programmes should be assigned to appropriate Assistant Directors as long as the programmes do not become so large that recruitment of adesignated Programme Manager becomes justified. Assistant Directors should be responsible foroverall TP supervision and implementation having an oversight role in order to ensure that (i) priorities and gaps in implementation are addressed, (ii) knowledge sharing is effective, (iii) necessary participation of programme management in fundraising is assured, and (iv) linkages between
TPs, the regular project cycle, and BWP activities are harnessed.
4.3 The Planning, Monitoring and Evaluation Officer should continue to be responsible for the administrative TP coordination and management of the call for proposals. Her/his role could be expanded to other tasks related to TP implementation, including generation of information for programme-level monitoring.
4.4 Specific responsibilities should be assigned to Regional Officers to improve coordination and promotion of TP activities in their regions, to be implemented in cooperation with Project Managers
responsible for TP projects.
5.

Improve the project cycle

5.1 The requirements for project proposals, their approval criteria and programme procedures should
be simplified.
5.2 TPACs and the Expert Panel on Project Appraisal should be merged, which would contribute to (i)better integration of the TPs and regular cycle projects, (ii) improved allocation of limited resources to priority projects, (iii) improved quality and reduced costs of appraisal work, and (iv) reduced Secretariat workload.
6.

Improve knowledge management

6.1 In carrying out thematic evaluations, groups of relevant projects should be selected from both the
TPs and regular cycle projects, as appropriate, to maximize generation of information on lessons
learned and to optimize costs.
7.

Mobilize resources

7.1 Measures should be taken to actively communicate on the value added and achievements of the
ITTO Thematic Programmes to the donor community and other relevant stakeholders.

ix

TABLE OF CONTENTSABBREVIATIONS AND ACRONYMS
1.

2.

INTRODUCTION

1

1.1
1.2
1.3

1
2
3
3
5
5
5

Background
Objectives and questions to be answered
Methodology and sources of information
1.3.1
Programme assessment
1.3.2
Lessons learned
1.3.3
Linkages and complementarities
1.3.4
Issues related to programme approach and management

REVIEW OF THEMATIC PROGRAMME ON TROPICAL FOREST LAW
ENFORCEMENT, GOVERNANCE AND TRADE (TFLET)
2.1

2.2

3.

XIV

Programme coverage and achievements
2.1.1
Programme portfolio
2.1.2
Programme objectives
2.1.3
Programme strategy
2.1.4
Level of implementation
2.1.5
Project types
2.1.6
Target groups
2.1.7
Executing agencies and partnerships
2.1.8
Problem analysis
2.1.9
Risk analysis and mitigation
2.1.10
Expected benefits
2.1.11
Performance
2.1.12
Applicability and replicability
2.1.13Innovation content
2.1.14
Expected sustainability
2.1.15
Project achievements within the Monitoring Protocol framework
2.1.16
Conclusions
Lessons learned from TFLET
2.2.1
Awareness raising on strengthening forest governance
2.2.2
Building human resource capacity in law enforcement
2.2.3
Developing timber tracking systems
2.2.4
Engaging small and medium-sized forest enterprises in law compliance2.2.5
Training
2.2.6
Partnerships
2.2.7
Inter-agency coordination and cooperation
2.2.8
Knowledge sharing
2.2.9
Sustainability
2.2.10
Project design
2.2.11
Project implementation

REVIEW OF THEMATIC PROGRAMME ON REDUCED EMISSIONS FROM
DEFORESTATION AND FOREST DEGRADATION AND ENHANCINGENVIRONMENTAL SERVICES (REDDES)
3.1

Programme coverage and achievements
3.1.1
Programme portfolio
3.1.2
Programme objectives
3.1.3
Programme strategy
3.1.4
Level of implementation
3.1.5
Project types
3.1.6
Target groups
3.1.7
Executing agencies and partnerships
3.1.8
Problem analysis
3.1.9
Risk analysis and mitigation

6
6
6
6
7
8
8
9
10
11
13
13
14
14
15
16
17
22
22
23
23
24
25
26
26
27
27
27
28
28

30
30
30
30
31
32
32
33
34
35
36

x

3.1.10
Expected benefits
3.1.11
Performance
3.1.12
Applicability and replicability
3.1.13Innovation content
3.1.14
Expected sustainability
3.1.15
Project achievements within the Monitoring Protocol framework
3.1.16
Conclusions
Lessons learned from REDDES
3.2.1
Payment for environmental services
3.2.2
Advancing REDD+ implementation through REDDES
3.2.3
Stakeholder participation
3.2.4
Poverty and food security
3.2.5
Resource assessment
3.2.6
Implementing the landscape approach – zoning
3.2.7
Value of demonstration
3.2.8
Private sector participation
3.2.9
Governance3.2.10Training
3.2.11Dissemination of results
3.2.12Mainstreaming the results through policy development
3.2.13
Ensuring sustainability
3.2.14
Project management and organization
3.2.15
Monitoring
3.2.16
Risk management

3.2

4.

PROGRAMMATIC LINKAGES AND COMPLEMENTARITIES

58

4.1

58
58
59

Programmatic linkages
4.1.1
TFLET and REDDES
4.1.2
Linkages with other Thematic Programmes
4.1.3
Linkages with regular cycle projects and Biennial Work Programmes
Complementarities with other international programmes
4.2.1
TFLET
4.2.2
REDDES

59
61
61
63

ISSUES RELATED TO PROGRAMME IMPLEMENTATION AND FINANCING

67

5.1
5.2
5.3
5.4
5.5
5.6

67
70
70
71
74
75

4.2

5.

6.

37
38
39
39
40
41
48
49
50
50
51
53
53
54
55
55
55
55
56
56
57
57
57
58

Strengthening of the programmatic approach in Thematic Programmes
Improving the quality of proposals
Management of TPs as programmes
Simplification of programme procedures
Improving knowledge sharing
Financing and effectiveness of the Thematic Programmes

RECOMMENDATIONS

77

REFERENCES
LIST OF TABLES
Table 2.1
Table 5.1
Table 5.2
Table 5.3

Regular cycle projects and BWP activities with linkage with REDDES and TFLET
Proposals received and approved under four Thematic Programmes
Funding Status of Thematic Programmes in December 2014
Pledges to the Thematic Programmes (up to December 2014)

60
72
75
76

LIST OF FIGURES
Figure 2.1
Figure 2.2
Figure 2.3
Figure 2.4

Specific objectives of TFLET projects
Programme strategy areas covered in TFLET projects
Level of implementation of TFLET projects
Types of TFLET projects

7
7
8
9
xi

Figure 2.5
Figure 2.6
Figure 2.7
Figure 2.8
Figure 2.9
Figure 2.10
Figure 2.11
Figure 2.12
Figure 2.13
Figure 2.14
Figure 2.15
Figure 2.16
Figure 2.17
Figure 2.18
Figure 2.19
Figure 2.20

Target groups of TFLET projects
Executing Agencies by type in TFLET projects
Partnerships in TFLET projects
Problem areas addressed in TFLET projects
Risk analysis in TFLET projects
Expected benefits of TFLET projects
Performance in completed TFLET projects
Applicability of results of completed TFLET projects
Replicability of completed TFLET projects
Innovation content of completed TFLET projects
Expected sustainability of completed TFLET projects
Necessary follow-up action of completed TFLET projects
Strengthening of forest law compliance and governance in TFLET projects
Transparency and effective management of supply chains in TFLET projects
Capacity building of communities and SMEs in TFLET projects
International cooperation in forest law enforcement and governance in TFLET
projects
Specific objectives of REDDES projects
Programme strategy areas covered in REDDES projects
Implementation level of REDDES projects
Types of REDDES projects
Target groups of REDDES projects
Types of Executing Agency in REDDES projects
Collaboration and partnerships in REDDES projects
Problem areas addressed in REDDES projects
Risks identified in REDDES projects
Types of expected impacts/benefits of REDDES projects
Performance in completed REDDES projects
Applicability of completed REDDES projects
Replicability of completed REDDES projects
Innovation content of completed REDDES projects
Expected sustainability of completed REDDES projects
Necessary follow-up action of completed REDDES projects
Avoided deforestation, restoration and conservation initiatives of REDDES
projects
Income generation and women participation in REDDES projects
Increased recognition of the values of tropical forests in REDDES projects
Quantification of carbon stocks in REDDES projects
Community initiatives taken in REDDES projects
Information sharing in REDDES projects
PES mechanisms developed in REDDES projects
Community involvement in PES development
Stakeholder consultations/dialogues undertaken in REDDES projects

Figure 3.1
Figure 3.2
Figure 3.3
Figure 3.4
Figure 3.5
Figure 3.6
Figure 3.7
Figure 3.8
Figure 3.9
Figure 3.10
Figure 3.11
Figure 3.12
Figure 3.13
Figure 3.14
Figure 3.15
Figure 3.16
Figure 3.17
Figure 3.18
Figure 3.19
Figure 3.20
Figure 3.21
Figure 3.22
Figure 3.23
Figure 3.24
Figure 3.25

10
10
11
12
13
14
14
15
15
15
16
16
18
19
20
21
31
32
32
33
34
35
35
36
37
38
38
39
39
40
40
41
42
43
43
44
45
45
46
47
48

LIST OF BOXES
Box 1.1
Box 2.1
Box 2.2
Box 3.1
Box 3.2
Box 3.3
Box 3.4
Box 3.5
Box 5.1

TFLET and REDDES programme objectives
Example of comprehensive project objectives attainable only in the long run Cameroon
Example of a successful TFLET intervention in the development on producttracking systems - Peru
PES scheme for natural production forests – example in China
Advancing REDD+ implementation in community forests in Indonesia
Challenges facing women in reduction of deforestation and forest degradation –Example of West and Central Africa
Key features of the tropical forest valuation model in Guyana
Example of forest and non-forest land categories for zoning in Indonesia
Lessons learned from the ITTO/CITES programme

4
28
29
51
52
53
54
54
74

xii

LIST OF ANNEXESANNEX 1ANNEX 2
ANNEX 3
ANNEX 4
ANNEX 5
ANNEX 6
ANNEX 7
ANNEX 8ANNEX 9ANNEX 10TERMS-OF-REFERENCE
LIST OF PRE-RPOJECTS AND PROJECTS INCLUDED IN THE REVIEWASSESSMENT DESCRIPTORSTECHNICAL REPORTS PRODUCED BY TFLET AND REDDES THEMATIC
PROGRAMMESLEVEL OF ACHIEVEMENT OF THE TFLET THEMATIC PROGRAMME IN
RELATION TO THE TARGETS OF THE MONITORING PROTOCOLLEVEL OF ACHIEVEMENT OF THE REDDES THEMATIC PROGRAMME IN
RELATION TO THE TARGETS OF THE MONITORING PROTOCOLREGULAR CYCLE PROJECTS AND BWP ACTIVITIES WITH LINKAGE TO TFELTAND REDDES THEMATIC PROGRAMMESCOMPARATIVE ANALYSIS BETWEEN TFLET/REDDES AND RELATEDINTERNATIONAL PROGRAMMESCOUNTRY COVERAGE OF THEMATIC PROGRAMMES, EU-FLEGTPROGRAMME, UN-REDD AND FCPF
LIST OF INTERVIEWEES

xiii

ABBREVIATIONS AND ACRONYMS
ACTO
ATO
BNDES
BWP
C&I
CFME
CITES
COC
CSO
DRC
DNA
EA
EU
FAO
FCPF
FLEG
FLEGT
GPFRL
IDE
ITTC
ITTO
MP
MRV
NGO
NTFP
PCR
PD
PES
PFE
PROFOR
PSC
REDD+

REDDES
RIL
RFM
SAP
SFM
SME
TFLET
TFU
TMT
TP
TPAC
TPD
UNFCCC
UNU
USD
VPA
WTP

Amazon Cooperation Treaty Organization
African Timber Organization
Amazon Fund for Central America
Biennial Work Programme
Criteria and Indicators
Community Forest Management and Enterprise
Convention on International Trade in Endangered Species
chain-of–custody
Civil Society Organization
Democratic Republic of Congo
deoxyribonucleic acid
Executing Agency
European Union
Food and Agriculture Organization
Forest Carbon Partnership Facility
Forest Law Enforcement and Governance
Forest Law Enforcement, Governance and Trade
Global Partnership on Forest Landscape Restoration
Industry Development and Efficiency
International Tropical Timber Council
International Tropical Timber Organization
Monitoring Protocol
monitoring, reporting and verification
non-governmental organization
non-timber forest productProject Completion Report
Project Document
payment for environmental services
permanent forest estate
Program on Forests
Project Steering Committee
Reducing Emissions from Deforestation and Forest Degradation and therole of conservation, sustainable management of forests and enhancementof forest carbon stocks in reducing emissions
Reduced Emissions from Deforestation and Forest Degradation andEnhancing Environmental Services
reduced impact logging
Reforestation and Forest Management
Strategic Action Plan
Sustainable Forest Management
small and medium-sized enterprise
Tropical Forest Law Enforcement, Governance and Trade
Tropical Forest Update
Trade and Market Transparency
Thematic Programme
Thematic Programme Advisory Committee
Thematic Programme Document
United Nations Framework Convention on Climate Change
United Nations University
United State dollar
Voluntary Partnership Agreement
willingness to pay

xiv

1.

INTRODUCTION

1.1

Background

In November 2008 the International Tropical Timber Council (ITTC) launched the implementation of
Thematic Programmes. Their purpose was “to facilitate unearmarked contributions for the financing ofapproved pre-projects, projects and activities consistent with the thematic programmes established by
the Council” (Decision 9(XLIV)). The decision was also a response to a call by Members for a morestrategic approach to facilitate funding than in the past when all the project work was financed throughearmarked funding through the regular project cycle.
The five Thematic Programmes (TPs) approved by the Council included (i) Forest Law Enforcement,
Governance and Trade (TFLET), Reducing Deforestation and Forest Degradation and Enhancing
Environmental Services in Tropical Forests (REDDES), Community Forest Management andEnterprises (CFME), Trade and Market Transparency (TMT), and Industry Development andEfficiency (IDE). Partial funding has been received for the implementation of the first four while the last
one remains to be launched due to lack of funding. Most of the funding for TPs has been channeled tothe operation of the TFLET and REDDES Programmes on which there is now sufficient experience tomake a preliminary assessment on their operation.
Decision 9(XLIV) also called for review and evaluation of the effectiveness of the Thematic
Programmes after three years. As an input to ITTC’s review, a report was prepared on theeffectiveness of pilot operation of ITTO Thematic Programmes which focused on the programmemanagement issues and provided information on individual projects implemented during the pilot
1phase.
In 2008, Decision 9(XLIV) on Terms of Reference for Thematic Programme Advisory Committees(TPACs) established that in selecting activities/pre-projects/projects for financing, all TPACs should
consider mechanisms for knowledge management and applicability of results to other countries,
regionally or globally, among other criteria.
Decision 10(XLIV) on Thematic Programme Profiles decided to include knowledge management withinthe “Programme Strategy” of the CFME Programme, specifically at the regional and international
levels, whose activities would include support to knowledge management and the sharing of country
experiences, and partnership-building with interested national, regional and international bodies.
2

Annex 2 of the TP Progress Report on the Implementation of the ITTO Thematic Programme (2010)
established the Monitoring Protocols (MPs) of operational TPs, which comprised the component
3
knowledge management in three TPs.

In 2012, Decision 4(XLVIII) called for raising awareness on lessons learned and best practices fromthe implementation of Thematic Programme projects, pre-projects and activities as part of ITTO’s
knowledge management strategy.
4th

The ITTO Knowledge Management Action Plan presented at the 49 ITTC session called for, interalia, capitalization of experience and learning focusing on the Strategic Priorities of the Strategic
Action Plan (SAP) 2013-2018 as a guide to prioritize activities geared towards strengthening
knowledge. These priorities are also reflected in the scope of the TPs.
Based on this background and as part of the implementation of the Biennial Work Programme (BWP)2013-2014, the Secretariat identified a need for a stocktaking of the achievements and lessons
learned of the implementation of REDDES and TFLET which is the subject of this report.

1
2
3
4

Caswell & Umali (2013)
ITTC(XLVI)/9
TFLET, REDDES, CFME
Fullan & Tomaselli (2013)

1

1.2

Objectives and questions to be answered

The purpose of the report is to provide a synthesis of the aggregated achievements of the completed
projects under the ITTO Thematic Programmes on a) Reducing Deforestation and Forest Degradationand Enhancing Environmental Services (REDDES) and b) Forest Law Enforcement, Governance andTrade (TFLET) towards the respective programmatic objectives (Annex 1).
The specific objectives are to(1)

Assess the programmatic coverage of the work done so far in relation to the REDDES and
TFLET Programme Documents (TPD) and Monitoring Protocols (MP) including theidentification of potential gaps;(2)

Synthesize the aggregated achievements of the completed projects under the ITTO Thematic
Programmes on REDDES and TFLET towards the respective programmatic objectives (Box
1.1);

(3)

Assess the complementarity of REDDES and TFLET with other related initiatives atinternational level and identify the TP added value;(4)

Identify lessons learned and assess effectiveness of knowledge sharing (incl. replicability,
innovation, communication, etc.);(5)

Provide key conclusions and recommendations on strengthening the programmatic approachand as appropriate provide suggestions for adjustments to the programme strategy

The report attempts to answer the following questions:
Programme design, coverage and achievements
1.

To what extent do the pre-projects/projects and activities cover the objectives, outcomes, andoutputs of the Programme?

2.

To what extent have the pre-projects/projects (completed, on-going) addressed the problem
areas identified in the TPD?

3.

What thematic areas are covered by pre-projects/projects?

4.

What areas of the programme strategy are covered?

5.

Which target groups/beneficiaries are aimed at?

6.

Which types of executing agencies are used?

7.

Have stakeholders been consulted?

8.

What is the quality of work in terms of the outputs produced in completed projects,
performance of the executing agency, ITTO and partners

9.

Have the risks been identified?

10. Which types of benefits are expected from the pre-projects/projects?
11. To what extent can the results of the completed pre-projects/projects be expected to be
applicable and replicable in similar conditions or elsewhere?
12. To what extent do the pre-projects/projects contain an element of innovation?
13. To what extent can the projects be expected to be sustainable and what kind follow-up action
may be needed?
14. Are there thematic gaps in the implementation of the Programme which may need to beaddressed?
15. To what extent have the completed projects contributed to programme objectives in terms of
outputs produced in view of the Monitoring Protocol, and are the Monitoring Protocols
applicable for measuring progress in project achievements?
16. How have the lessons learned been shared?

2

Linkages
17. What are there linkages between TFLET and REDDES and with other Thematic
Programmes?
18. To what extent have ITTO’s other projects funded under the regular project cycle contributed
to the objectives of the two programmes?
Lessons learned
19. What are the lessons learned by thematic areas and for programme management
Complementarity
20. To what extent are the two thematic programmes complementary or overlapping with otherrelated initiatives at international level?
Issues related to programme approach and management
21.
22.
23.

How to improve the programmatic approach in the two TPs?
How to influence the quality of project proposals?
How to improve programme management and procedures?

1.3

Methodology and sources of information

1.3.1

Programme assessment

The main source of information was the available documentation on individual pre-projects/projects
and activities which included, as appropriate, project documents, technical reports, progress reports
and project completion reports. Most of the documentation is available on the recently established
Projects database. In addition, the six Thematic Programme Progress Reports as well as the5assessment of the effectiveness of pilot operation of ITTO Thematic Programmes were valuable
sources of information.
The implementation period of the TFLET and REDDES TPs has been relatively short. The first calls
for proposals for the pilot operation of the two TPs were launched in 2009. The pre-cursor of TFLET
had already been implemented in 2008 but there were no calls for proposals.
At the writing of this report 21 pre-projects and projects had been approved under the TFLET
programme of which 20 were included in the review. Ten of them had been completed. A total of 31
pre-projects and projects had been approved under the REDDES programme of which 29 had
6received funding with 13 projects being completed. No mid-term and ex-post evaluations have been
carried out which represents a limitation for any assessment of the completed projects’ effective ness,
efficiency and sustainability as the available information is based on what had been provided by
Executing Agencies.
In view of the small number of completed projects, it was decided to review all the pre-projects andprojects which have been funded including those currently under implementation. This was considerednecessary to make a proper assessment of the progress in programme implementation. The portfolio
7
reviewed consisted of a total of 20 TFLET projects and 29 REDDES projects (Annex 2).

567

Caswell & Umali, ibid
RED-SPD 058/11 Rev. 2 (F) Developing REDD+ES in the Brazilian Atlantic rain forest was pending agreement at the writingof this report and was not included in the review.
PD 493/07 Rev.1 (F) Strengthening Capacity of Forest Law Enforcement and Governance (Cambodia) and PD 449/07
Rev.2 (M,I) Enhancing Forest Law Enforcement in PNG have been funded but are not included in the review. Three otherprojects are pending agreement and were not included in the review (TFL-PD 044/13 Rev. 2 (M); TFL-SPD 043/13 Rev. 1(M) and TFL-PPD 005/09 Rev. 1 (F)).

3

Box 1.1

TFLET and REDDES programme objectives

TFLET
The general objective of the Thematic Programme is to improve national forest law enforcement and governancein tropical ITTO member countries in order to:-enhanced and diversify international trade in tropical timber from sustainably managed forests, andhelp alleviate poverty in those countries

The specific objectives of the Programme are to:
1)

2)
3)
4)

Strengthen forest law compliance and governance through improved national policy and legal
frameworks, strengthened enforcement and other institutions, improved data and knowledge,
strengthened partnerships and improved cooperation among the private sector, civil society
organizations and other stakeholders
Improve transparency and effective management of supply chains and increased domestic andinternational trade in legally produced tropical timber
Improve capacity of community and small and medium-sized enterprises to implement and demonstratethat timber produced and traded comes from legal sources contributing to sustainable livelihoods; andImprove international cooperation in forest law enforcement and governance among ITTO member
countries and other related international initiatives.

REDDES
The general objective of the Thematic Programme is to reduce deforestation and forest degradation, enhanceenvironmental services and help improve forest dependent livelihoods through sustainable management of
tropical forests, forest restoration and other related activities.
The specific objective of the Programme is to strengthen the capacity of ITTO developing member countries andtheir stakeholders to:
a)
b)
c)
d)

reduce unplanned deforestation;
reduce forest degradation;
maintain and enhance climate change mitigation and other environmental services of tropical forests;
contribute to the social and economic sustainability and well-being of forest-dependent communities by
increasing forest values through forest restoration and rehabilitation, as well as payments for forestbased environmental services; ande) enhance adaptation and resilience of tropical forests to negative effects of climate change and humaninduced impacts.
Source: Programme Documents

The scope of assessment covered the following areas derived from the Programme Documents andthe Monitoring Protocols: problem analysis, programme objectives, level of implementation, projecttype, programme strategy area covered, target group, type of executing agency, partners andpartnerships, risk assessment, types of expected impacts and benefits, performance of project
implementation, applicability of results, replicability of the project, innovation content, and expectedsustainability. Efficiency was only assessed for completed projects in terms of performance of project
implementation. Other measures were also tried for establishing an indication of cost efficiency interms of outputs achieved but no broadly applicable approach was found due to the great variety of
projects and their operating environment.
Two project assessment sheets were designed for each of the TPs reviewed. The descriptors areprovided in Annex 3. The first one focuses on the assessment of the general aspects of preprojects/projects. The second assessment sheet was derived from the Monitoring Protocol of each TP.
It was aimed at identifying realized and planned achievements in terms of outputs. The results of theassessment of the level of achievement of the targets identified in the MPs are given in Annexes 5 and6.
The scoring results of project assessments were calculated as frequency distributions. They arereported numerically and graphically in the body of the report.
In view of the limitations of the available information, project assessment was, by definition,
exploratory by nature and therefore any conclusions need to be considered with care. In particular, theresults on efficiency, expected impacts, applicability, replicability, innovation and sustainability are4likely to be positively biased as they are based on a desk review of available documentation preparedby Executing Agencies. Therefore, the information on programme achievements needs to be verified
through ex-post evaluations in due course.
Another aspect that was considered in the analysis were activities of the Biennial Work Programmes(BWP) which were funded by the two TPs. Due to their different nature, these were not included in the
pre-project/project analysis but were considered in the assessment.
1.3.2

Lessons learned

The main source of information for lessons learned was progress and completion reports of the ongoing and completed projects and available technical reports. Project Completion Reports (PCR)
contain a separate section on lessons but also sections on conclusions and recommendations had
some findings which can serve as useful guidance for future work. The synthesized lessons arepresented for each TP.
Project documentation also included information on activities planned or taken for knowledge sharing.
The information was compiled and qualitatively assessed. In addition, measures taken by the ITTO
Secretariat for knowledge sharing on the results of the two TPs were identified and reviewed in view of
the Organization’s Knowledge Management Strategy. Annex 3 lists the technical reports produced
under TFLET and REDDES.
1.3.3

Linkages and complementarities

There are significant linkages between the TPs. Strengthening of governance is a common issue to be
tackled in REDDES and TFLET. Both TPs have provided funding to projects which are targeted atcommunities and could have qualified financing under the CFME Thematic Programme (particularly
REDDES). Several projects and activities implemented under TFLET could have qualified also for the
Trade and Market Transparency TP. These linkages were also identified.
During the course of work it appeared that a large number of pre-projects/projects financed under the
regular project cycle would have been eligible for TP funding or contributed to the achievement of theirobjectives. These pre-projects and projects were identified in order to establish the extent to which thetwo thematic areas studied in the report have mobilized funding as a whole in ITTO’s work (Annex 7).
Complementarity of the two TPs with other related initiatives at international level was assessed interms of (i) objectives, (ii) approach and modus operandi, (iii) geographical coverage, (iv) thematic
coverage, and (v) donor funding. In the case of TFLET the analysis was made against the EU-FAO
FLEGT Programme. REDDES was compared with the UN-REDD Programme and the Forest Carbon
Partnership Facility (FCPF). Annexes 8 and 9 contain the details of the comparative analysis.
It is recognized that there is a large number of other initiatives and programmes related to the thematic
areas of TFLET and REDDES but these are mainly implemented by regional and bilateral bodies or
non-governmental organizations (NGOs). These are therefore not directly comparable with ITTO’s
work.
1.3.4

Issues related to programme approach and management

The results of earlier work on member country expectations and management issues reported by
Caswell & Umali (2013) were considered in the analysis of the issues related to programme design
and management, together with the findings of this stocktaking exercise. In addition, a number of nonstructured interviews with ITTO staff and selected specialists were carried out (Annex 10).

5

2.

REVIEW OF THEMATIC PROGRAMME ON TROPICAL FOREST LAW ENFORCEMENT,
GOVERNANCE AND TRADE (TFLET)

2.1

Programme coverage and achievements

2.1.1

Programme portfolio

The TFLET portfolio reviewed consists of 20 pre-projects and projects of which 10 have been
completed and the others are being implemented (Annex 2). In addition, the programme has financed
four activities of the Biennial Work Programme 2008/2009.
The projects have directly benefited a total of eight countries, three in Africa and Latin America each,89and two in Asia-Pacific . In addition, there was a regional project in Africa and a technology
10
11
development pre-project that was not country or region specific.
Eight projects were implemented during the pre-cursor phase. The programme has provided direct
support to a quarter of ITTO’s 33 producing member countries and there is therefore a large
12geographic gap to be covered.
Direct support was received by Indonesia through four projects, Guatemala and Peru through threeeach, Cameroon and Ghana through two each, and Mali, China and Colombia through one projecteach.
The total funding of the programme amounts to USD 9.1 million (cf. section 5.5). The project size hasvaried from USD 67,000 to USD 600,000. The project duration has varied from 1 to 3 years.
In sections 2.1.2 to 2.1.10 all the reviewed pre-projects and projects financed under TFLET are
included, be they completed or on-going. In sections 2.1.11 to 2.1.14 only completed pre-projects andprojects have been included. The assessment made with regard to the Monitoring Protocol is
contained in section 2.1.15 covering all the reviewed pre-projects and projects, as appropriate.
2.1.2

Programme objectives

In general, the TFLET projects cover well the first three programme objectives (cf. Box 1.1). Ninety
percent of the projects targeted capacity building of community and small and medium-sizedenterprises (SMEs) to demonstrate that the timber traded comes from legal sources as a focus area orprovided a substantial contribution towards this objective (Figure 2.1). Strengthening forest law
compliance and governance was targeted by 85 percent of the projects. About two thirds made acontribution – mostly significant – to improved transparency and effective management of supply
chains as well as increased domestic and international trade in legally produced timber.
However, the fourth programmatic objective, i.e., improved international cooperation in forest law
enforcement and governance, was a focus area only in a fifth of projects and another 10 percent
covered this area. Cooperation was in most cases linked to the FLEGT processes but also with otherconsumer country initiatives targeted increased trade in legal timber. This result was expected as law
enforcement and governance are essentially national undertakings and cross-border cooperation
would require the participating countries to join the same project proposal. However, cross-bordercooperation is one of the areas where ITTTO has a competitive advantage and could significantly add
value to its members’ efforts to strengthen governance and eradicate illegal trade.

8

The number does not include the Australia-funded project TFL PD 037/13 Rev. 2(M) Implementing a DNA timber tracking
system in Indonesia as it was not part of the review..
9
PD 124/10 Rev. 2 (M)10
TFL-PPD 023/10 Rev. 1 (F)11Three other projects are pending agreement and were not included in the review (TFL-PD 044/13 Rev. 2 (M) in Panama;
TFL-SPD 043/13 Rev. 1 (M) in PNG, and TFL-PPD 005/09 Rev. 1 (F) in Thailand).
12
During the course of work, information became available on one more project PD 493/07 Rev.1 (F) Strengthening Capacityof Forest Law Enforcement and Governance in Cambodia which could not be included in the analysis. It is excluded fromthe list here.

6

The TFLET specific objectives appear relevant for producing member countries and the project
portfolio represents a significant effort towards their achievement.
Figure 2.1

Specific objectives of TFLET projects
0%50%

Forest law compliance andgovernance

5 10

Transparency

25

100%
65

20

No coverage
5

Minor coverage

45

25

Substantial coverage
Capacity

75

15

10

Cooperation

2.1.3

Focus area
5 5

70

20

Programme strategy

Three TFLET’s strategic intervention areas are well covered by project-level efforts (Figure 2.2). The
key area on which a great majority of the projects focused was strengthening of forest governancewith multiple contributions to improvement of legal and policy frameworks, data collection, andenhancement of the civil society and private sector contribution to law enforcement. Stakeholder
participation was facilitated and supported in most projects.
Figure 2.2

Programme strategy areas covered in TFLET projects
0%

Law Compliance andGovernanceSupport to legal trade andsupply chains

5

50%

100%

20

75
No coverage

25

5

55

15

Minor coverage
Substantial coverage

CFEs and other SMES

Cooperation

30

10

65

25

Focus area

35

10 5

20

Systematic approaches to governance improvements were tried e.g. in Guatemala within theframework of a national plan elaborated for law enforcement the implementation of which was started
13
with TFLET support. A national plan was also prepared (or is in process) in three other countries(Cameroon, Colombia and Indonesia). There is scope for building on this experience in othercountries. Another strategic approach was to carry out pilot projects for strengthening of forest
13

TFL-PD 024/10

7

governance on local or subnational levels which allowed feeding the national-level decision making
with information on successful experiences.
About 70 percent of the projects reviewed provided substantial contribution to supporting trade inlegally produced tropical timber and effective management of supply chains and development of
tracking systems, including their piloting and adoption. Promotion of policy dialogue and exchange ofexperience on international and domestic market requirements was also an element of several
projects. However, there was only one project which had a specific element of public procurement
policies. This policy instrument still remains to be drawn on in the future and related work is already inprocess at least in three producing countries.
Capacity building of community forest enterprises and other SMEs was an intervention area in 70
percent of the projects. Support covered a wide range of activities, particularly training in
implementation of SFM, reduced impact logging (RIL), monitoring, verification and certification,
information systems, marketing and communication. Support was also provided to development of
networks, associations and cooperative arrangements as well as partnerships between communities,
CSOs and the private sector in several projects.
International cooperation was an element of about a third of projects, mainly targeted at knowledge
sharing and improved information but in some cases also to strengthen regional, cross-country and14
It is apparent that, as the main modus operandi of theinternational cooperation mechanisms.
programme is call for proposals by national stakeholders in producing member countries, it cannot be
expected that international cooperation will be emphasized. However, this area has to some extent
been covered by TFLET-related activities of Biennial Work Programmes.
2.1.4

Level of implementation

About two thirds of TFLET projects have been implemented at a national level (Figure 2.3). Local,
enterprise or other economic unit-level projects accounted for 15 percent of the total, as was the caseof regional and sub-regional projects (sometimes involving only two countries). However, many
projects had interventions on more than one level.
Figure 2.30%Level of implementation of TFLET projects
20%

40%

60%

80%

100%

Local, enterprise, econ. unit
Country

15

65

15

5

Regional/sub-regional
International

2.1.5

Project types

The strongest focus of the TFLET project work has been in capacity building, which is in line with theProgramme’s strategic priorities. This was a focus area of two thirds of the projects (Figure 2.4).
Institutional strengthening was a focus area in 60 percent of the projects reviewed. Policy analysis anddevelopment were not necessarily included in these cases but about one third made a substantial
effort also in this area. There was preponderance of training in many institutional strengthening
projects.
Market transparency and development was a focal area in 30 percent of the TFLET projects andalmost another half covered this subject in a substantial manner.

14E.g., TFL-PD 003/09, PD 124/10

8

Figure 2.4

Types of TFLET projects
0%Institutional strengthening

20%

Capacity building

Stakeholder participation
Communication
Other

5

10 5

10

15

No coverage

65

25

25

25

25
30

20
40

15

100%

45

15

10

80%
60

60

Pilot project local level
Tracking and certification

60%

20

15 5

Policy analysis/development
Market transparency/development

40%

Minor coveage

30

30

15

35

100

Focus area

40

30
35

Substantial coverage

25

15
0

Local level pilot projects were included in 60 percent of the projects in spite of the fact that they were
often implemented on the national level. Pilots were typically selected communities or SMEs but
sometimes also larger subnational units (district or province).
Tracking, verification and certification were included in three quarters of TFLET projects and in a third
they were a focus area.
Stakeholder participation was part of all the projects which were not purely technical by nature. It wasa focus area in 40% of the projects and in another third it was substantially covered.
Communication and dissemination were covered in three quarters of the projects but often in asomewhat limited manner. This is an area which needs attention in the future project design. Several
Project Completion Reports noted insufficient budgetary resources allocated for this purpose as the
key constraint to effectively share lessons learned and new knowledge generated.
2.1.6

Target groups

Forest communities have been identified as the main target group and beneficiary in two thirds of
TFLET projects (Figure 2.5). Indigenous groups form an important part of them (targeted in 45%). The
second most important target group has been SMEs followed by the private sector and specifically theforest industry. The government has been a main beneficiary in 60 percent of the cases and in all theothers it has been minor direct target group. This is logical because of the programme’s emphasis on
strengthening of governance.
CSOs have been rarely a main beneficiary but in most cases they are indicated as direct or indirect
minor beneficiaries. The situation has been similar but somewhat weaker with knowledge institutions
and other related bodies.
TFLET projects have typically more than one principal target group which explains the overlap in the
results. The overall pattern is consistent with the identification of target groups of the Programme
Document.

9

Figure 2.5

Target groups of TFLET projects
0%50%Communities

30

Indigenous group

35

SMEs

20

Forest Industry

15

45

15

5

60

20

Private Sector

15

Civil Society

10

Minor but indicated direct
Main beneficiary

50
10

55

25

20

40

30

Other

Minor but indicated indirect

60
30

5

No coverage

45

35

40

Knowledge institutions

2.1.7

65

5

5

Government

100%

10

10 10

80

Executing agencies and partnerships

Government agencies were executing agencies in 45 percent of the projects (Figure 2.6). Knowledge
institutions executed a quarter of projects, and CSOs and development organizations 15 percent each.
The pattern is logical because of the importance of government in improving governance and law
enforcement. However, there is scope to expand the role of other types of organizations in executing
TFLET projects.
Figure 2.6
0%

Executing Agencies by type in TFLET projects
20%

40%

60%

80%

100%

Government
Civil Society

EA

45

15

25

15

Knowledge Institutions
Development Organizations

Partnerships have been typical in TFLET projects. Government agencies have been in one way or
another in a supporting role in almost all the projects; at least in an implementation and consultationrole but sometimes also leveraging financing (Figure 2.7). CSOs have been implementation partners
in more than half of the projects and in consultation activities in another quarter. Knowledge
institutions (typically universities and research institutes) have participated in the implementation ofhalf of the projects and contributed in another way to another 30 percent.

10Figure 2.7

Partnerships in TFLET projects
0%
Government

20%

40%

5 10

60%

80%

100%

25

5

55

Not involved
Financing

CSOs

10

Knoweldge institutions

2.1.8

55

20

5

25

50

10

20

5

Implementation
Consultation
Other

Problem analysis

The Programme Document includes a problem analysis with identification of typical factors
contributing to illegal activities in the forest sector and their direct and underlying causes. The review
of project level problem analyses revealed that TFLET interventions address several sub-causes,
which is in line with the implicit theory of change of the programme (Figure 2.8). The focal problem
areas were ineffective supervision and control of trade, weak stakeholder participation, inadequate
institutional capacity and policy failures. Among the direct causes, the most frequently addressed wereweak participation of SMEs and communities, and inadequate monitoring and control.
Direct causes that were less frequently identified in the project analyses included corruption, transboundary trafficking, distorted incentives, excessive production capacity, and silent acceptability ofillegalities. Underlying causes that were not covered, or had only a minor role in problem analyses
were high transaction costs, public pressure, poverty, existence of markets for illegal products, andweak international cooperation.
The above review suggests that the programme-level problem analysis has a considerable degree of
relevance for situations in producing member countries. However, as there is a wide variation innational and local situations, project level problem analyses have to be tailored to actual conditions
and this has indeed been the case. It can also be understood that macro-level issues like poverty andcorruption do not appear substantially in project analyses as they cannot often be effectively
addressed through local or even sectorial interventions. On the other hand, there has been limited orno coverage of recognition of distorted specific incentives, high transaction costs of the supply, needto balance the harvesting and industrial capacity with the sustained production potential, and the roleof trans-boundary illegal trafficking occurring in many countries which suggests that further capacity
building efforts are needed to improve problem analysis.

11Figure 2.8

Problem areas addressed in TFLET projects

0%

20%

(a)

40%
50

60

(d)

60

(e)

30

10
10

5

15

35

(h)

25

10

5

25

20

15

20

50

(o)
(p)

20
5
15

5

5

20

15

60

25
5

5

25

10

20

15

Focus area

30
20

55

Substantial coverage

20

50

(n)

5

20

70
5

Minor coverage

10
30

40

(l)

No coverage

30

65

(k)

20

10

55

(j)

5

45

40

(i)

10

10
10

25

5

20

70

(g)

5

30
10

55

(f)

(r)

100%

85

(c)

(q)

80%

10

(b)

(m)

60%

55
55

25

Key: (a) to (h): Causes ; (i) to (r) : Sub-causes(a)Acceptability of illegalities(b)
Corruption(c)Distorted incentives(d)Excessive capacity(e)Market incentives for SFM(f)Transboundary trafficking(g)Participation of SMEs and communities(h)Monitoring and control(i)
Poverty(j)
Public pressure(k)
Policy failures(l)High transaction cost(m)Institutional capacity(n)Markets for illegal products(o)Intern. cooperation(p)
Supervision of trade(q)
Stakeholder capacity(r)
Information on forests, markets and technology

122.1.9Risk analysis and mitigation

The TFLET Programme Document includes a guiding risk analysis for project design and suggested
measures to mitigate risks. The project review carried out revealed that the most frequently identified
significant risks were lack of mobilization of SMEs (together with their weak awareness andcompetence to participate), illegal activities and operational cooperation with related agencies andwithin the Executing Agency itself (Figure 2.9). Political risks were also mentioned in half of the project
documents and considered significant in another 15 percent.
In the programme design stage it was expected that many proposals would originate from government
agencies or external parties and thereby leading to a biased design. This kind of risk was identified(often indirectly) in about 10 percent of cases and it has probably resulted in a somewhat lower qualityof project design. However, failures were not detected during this review.
In general, risk analyses were often superficial but a number of good in-depth analyses had been
carried out together with identification of mitigation measures. This area needs further capacity
building and stronger oversight.
Figure 2.9

Risk analysis in TFLET projects
0%
Political

20%

40%

50

60%

80%

15

35

100%

Vested interests

65

15

20

Market70

525

Cross-border cooperation

90

10

Proposal origin

85

5 10

Operational cooperation
Financing70

Keeping records

75

15

50

5

45

Awareness and competence of…

45

15

40

60

Signifcant

25

5

Mobilization of SMEs

Illegal Activities

Mentioned but not significant

40

15

45

Not mentioned

1040

2.1.10 Expected benefits
All the TFLET projects have identified generation of significant economic benefits as a target (Figure2.10). Most (85%) also target at environmental and social benefits but in only about half of the cases
these are expected to be significant.

13Figure 2.10

Expected benefits of TFLET projects
0%

20%

40%

Economic

60%

80%

100%
Not mentioned

100

Gender90

10Social1545

40

Environmental

15

40

45

Mentioned but notsignificant
Significant

2.1.11 Performance
Based on the PCRs, the performance of Executing Agencies was good in 90 percent of the cases as
the planned outputs were produced within the allocated resources. Minor problems were reported in
one tenth (Figure 2.11).
The situation was different with partners as in 40 percent of the cases various minor problems wereidentified. These were related to e.g., delays in other government agencies’ inputs, lack of committed
resources from complementary sources, etc. With regard to ITTO’s performance all the feedback was
positive. ITTO’s participation in Project Steering Committees was generally highly valued as it brought
new ideas based on experience in other countries and general advice on project implementation. Also
backstopping support to address administrative and technical problems was appreciated.
Figure 2.11

Performance in completed TFLET projects
0%

Executing agency
Partners

20%

40%

10

60%

80%

90
40

ITTO

100%

Major problem
60

Minor problem
Good

100

2.1.12 Applicability and replicability
Based on the documentation on project design and outputs, an effort was made to assess possible
applicability and replicability of completed projects. In general, TFLET projects could be applicable insimilar conditions elsewhere. Thirty percent of the projects were considered applicable on the national
level in the country itself and twenty percent on a regional or international level. Thirty percent wereconsidered applicable at all levels. (Figure 2.12).

14

Figure 2.12

Applicability of results of completed TFLET projects
0%

20%

40%

60%

80%

100%

Applicable in similar conditions
National level

Applicability

20

30

20

30

Regional/Int'l level
All levels

Thirty percent of TFLET projects were considered replicable in similar conditions and all the others
replicable with modifications. (Figure 2.13)
Figure 2.13

Replicability of completed TFLET projects
0%

20%

40%

60%

80%

100%
Replicable in similar conditions

Replicability

30

70

Replicable with modifications

2.1.13 Innovation content
All the completed TFLET projects appeared to have an element of innovation through breaking new
ground and applying methods, technologies that were not known or mainstreamed as yet. Technology
is here understood broadly including also new ways of working and organizing efforts towards thetargeted outcomes.
In seventy percent of the completed projects the innovation element was related to adaptation of newtechnology in specific local and national conditions (Figure 2.14). In a fifth of the projects existing
technology was applied in new conditions (e.g., existing tracking technology that was not yet used in
the country). One project led to generation of a truly new innovation (DNA fingerprinting to be used in
product tracking).
The completed TFLET projects have generated a valuable pool of knowledge that could be broadly
shared within countries, regionally or internationally even though some of the lessons learned and new
innovations may have to be validated in due course. The lessons learned are summarized in section
3.1.
Figure 2.14

Innovation content of completed TFLET projects

0%Content

20%

20

40%

60%

70

80%

100%

10

No element
Existing technology in new
application/conditions
Adapted new technology
New innovation

15

2.1.14 Expected sustainability
The Project Completion Reports contained a range of measures for ensuring project sustainability.
The following examples are illustrative:••••

Adoption of the developed digital tracking systems by the authorities
Continuation of financing of project activities after completion
Formalization of multi stakeholder platform for future policy dialogue
Integration of new technologies in the curriculum of educational institutions

Half of projects were assessed to have strong likelihood for sustainability and another thirty percent
some likelihood (Figure 2.15). The remaining twenty percent were considered sustainable provided
that continuous financing through a follow-up project or other similar means can be ensured.
Figure 2.15

Expected sustainability of completed TFLET projects
0%

Sustainablility

20%

20

40%

60%

30

80%

100%

Not sustainable
Sustainable with continous
financing50

Some likelihood
Strong likelihood

In sixty percent of the cases a follow-up project was considered necessary to ensure sustainability(Figure 2.16). The main reason was need for financial support for a bridging period to avoid loss of
momentum in project benefits and thereby stakeholder commitment to pursue improved practices. In
the case of successful pilot projects follow-up support was deemed necessary for mainstreaming
adoption of tracking systems and other innovations.
In another thirty percent of the projects, policy revision was foreseen to ensure sustainability; thesewere mostly projects with some likelihood for sustainability. The main reasons for follow-up actionneeds are common difficulties related to implementing policy reforms that tend to take time extending
beyond the project duration and the momentum of the project impacts may be lost in the meantime iffollow-up actions are not timely taken.
Figure 2.16

Necessary follow-up action of completed TFLET projects
0%

20%

40%

60%

80%

100%
No action
Follow up project

Necessary follow-up action

60

30

10

Policy revision
Other

16

2.1.15 Project achievements within the Monitoring Protocol framework
Figures 2.17-2.20 summarize to what extent the various output indicators of the Monitoring Protocol
are covered by the TFLET project portfolio. To some extent the results overlap with the analysis in
sections 2.1.1-2.1.16.
a) Strengthen forest law compliance and governance through improved national policy and legal
frameworks, strengthened enforcement and other institutions, improved data and knowledge,
strengthened partnerships and improved cooperation among the private sector, civil society
organizations and other stakeholders
Under this first specific objective of the Programme about a third of the projects in four countries(Cameroon, Colombia, Indonesia, Peru) contribute (or are in process) to establishment, review or
improvement of laws and legal instruments on tenure and user rights (MP target value is 5 countries
for all outputs under this specific objective). However, in none of the cases improved laws andregulations have been published in the national gazette as implied by the means of verification of the
MP. The review process may be going on even after the completion of projects but cannot be verified
based on the available information. This is understandable as enacting new legislation takes usually
longer than the 2 to 3-year project period during which the process has been initiated.
Multi-stakeholder consultation mechanisms were established and operated (or are in process) in six
15
countries with hundreds of participants. In addition, the regional ITTO/ATO project in Africa
contributed to establishment of consultation mechanisms in five more countries with several hundred
participants. The most extensive consultations were carried out in Indonesia where they involved
16
2,629 people.
National action plans for strengthening of law compliance and governance were prepared in four
countries. Strengthening of law enforcement units was part of four projects.
17

National studies on timber flows were carried out in four countries, but in two cases they covered
only subnational units serving the local industry. A quarter of projects attempted to reconcile statistics
on trade flows usually as part of national studies. No regular mechanisms have been established as
yet for this purpose as implied by the MP.
Cost-effective digitized timber tracking and tracing systems were part of TFLET projects in fivecountries. A compendium on tracking and tracing technologies were prepared in four projects in thecontext of review of existing technologies and assessment of their suitability to local conditions. An
18
ITTO technical report was also prepared on the subject.
A total of 32 technical reports have been prepared under the completed TFLET projects which areavailable in the ITTO Projects Data Base (Annex 4).
b) Improvement of transparency and effective management of supply chains and increased domestic
and export in legally produced tropical timber

15
16
17
18

PD 124/10 Rev. 2(M)
TFL-PD 019/10 Rev. 2
Colombia, Guatemala, Indonesia and Peru
ITTO (2012c)

17

Figure 2.17

0Strengthening of forest law compliance and governance in TFLET projects

10

20

%
30

40

50

60

(a)
(b)
(c)
(d)
(e)
(f)
(g)
(h)
Key :
(a)
(b)
(c)
(d)
(e)
(f)
(g)
(h)

Laws and legal instruments on tenure and user rights established, reviewed or improved
Establishment and operation of multi-stakeholder consultation mechanism
National Action Plan formulated and under implementation
Establishment and strengthening of law enforcement units
National studies on timber flows carried out
Reconciliation mechanism for resolving trade flow discrepancies
Cost-effective and non-paper based timber tracking systems developed and implemented
Compendium on tracking and tracing technologies prepared

Eleven TFLET projects in nine countries were aimed at increasing the volume of traded tropical timber
and timber products from legal and sustainable sources (Figure 2.18). In none of the countries
information on increased trade is available as yet to verify progress as called for by the MP (There isno target value for this indicator in the MP). Project support was given (or is in process) to certificationof SFM and Chain-of-Custody as well as verification of legality. The number of certificates obtained ishowever not yet reported.
Development of public timber procurement policies has not been a focal area of TFLET projects but
related work is carried out in four countries (cf. section 2.1.3) (MP target value is 5 countries). It is
however known that such policies have been developed at least in three other ITTO producing
member countries (Brazil, Mexico, Vietnam) but this work has been carried out without TFLET
19
support.
Partnerships are instrumental in eleven on-going and completed projects, some of them based onformal arrangements (in six countries) and in the countries covered by the ITTO/ATO regional project.
In other cases partnerships involved leveraging inputs to project activities and participation in PSC andother instruments of implementation (MP target value is 5 partnerships).
Capacity building activities undertaken among CSOs are reported below under specific objective (c)as they were usually targeted at several stakeholders and no specific workshops for CSOs only havebeen arranged in any of the completed TFLET projects (as called for by the MP). Training courses onforest law compliance and enforcement were arranged or are in process in seven countries through 13
projects.

19

Martin & Baharuddin (2014)18

Figure 2.18

Transparency and effective management of supply chains in TFLET projects
%

0

10

20

30

40

50

(a)
(b)

70

55
5

(c)

20

(d)

55

(e)
(f)

60

65
10

Key :
(a)
(b)
(c)
(d)

Increased volumes of traded tropical timber and timber products from legal and sustainablesources (from community forests)
Development of procurement policies in ITTO producing countries
Public timber procurement policies and legislation formulated and/or under implementation
Civil society / private sector / governmental agency partnerships established

(e)
(f)

Training courses on forest law compliance implemented
Codes of conduct from the private sector

In two countries a private sector code of conduct was developed and approved by the national tradeassociation but no reports are available on implementation. As the MP target value is 5 codes in thisarea further work is needed.
c) Capacity building of communities and SMEs to implement and demonstrate that timber produced
and traded comes from legal sources contributing to sustainable development
The first output under this specific objective in the MP is increased value and volume produced andtraded by forest dependent and local communities. Sixty percent of the TFLET projects are in theprocess, or have supported) communities in six countries in this area (MP target value is 5
communities) (Figure 2.19). The total number of communities is not reported in all the PCRs.
However, for example, the project TFL-PD 019 Rev.1 (M) in Indonesia provided capacity building
support to 20 community groups and its training events were attended by 702 stakeholders, including
also SMEs. The pre-project PPD 138/07 Rev. 1 (M) in Peru focused its capacity building in piloting ofverification of timber legality on six communities.
Forty-five percent of the projects have focused on the same output for SMEs (which are often
overlapping with communities), in seven countries (MP target value is 5 SMEs). Unfortunately, theavailable documentation does not allow establishing the value and volume of timber produced andtraded from communities and SMEs supported by these projects (as called for by the MP).
More than half of the TFLET projects contain capacity building activities for forest communities andSMEs, often in the same project. Training modules have been developed, used and disseminated in
13 projects (MP target values are relevant training modules and disseminated for 5 communities and
5 SMEs). Dissemination was in all cases through organization of training courses as other means ofdissemination are not as effective in these two target groups.
A database on registered SMEs has been developed or is in process in eight projects but information
is not available on how many enterprises they include and how many of them were previously
operating in the informal sector. However, it can be assumed that the number of registered SMEs has
increased. The MP calls for measuring a percentage increase in the number of such SMEs but it isdoes not appear a feasible indicator on programme level, not least because establishing baselines
would require extra effort to collect data before the projects.

19Finally, the BWP activity PP-A/43-200 has provided technical assistance for selected poor
local/indigenous communities to formulate project proposals for submission to ITTO for managementof forests and sustainable timber production.
Figure 2.19

Capacity building of communities and SMEs in TFLET projects
%

0

10

20

30

40

50

60

(a)

60

(b)

55

(c)

45

(d)
(e)
Key :
(a)
(b)
(c)
(d)
(e)

70

60
40

Value and volume of timber produced and traded by forest dependent and local communities
Relevant training modules developed and disseminated in forest communities
Value and volume of timber traded by SMEs
Relevant training modules developed and disseminated to SMEs
Increased number of registered SMEsd) Improve international cooperation in forest law enforcement and governance among ITTO member
countries and other related international initiatives
The MP outputs under this specific objective include international policy development activities
undertaken, to be measured through an increase in the number of countries participating ininternational and regional initiatives to improve forest law enforcement and forest governance.
In 2007, the base line year, regional FLEG processes coordinated by the World Bank wereparticipated by most of the ITTO producing member countries. Since then these processes have faded
out in the tropical regions (cf. section 4.1). In 2007 the EU FLEGT Action was in its initial stages of
implementation and presently six ITTO countries are involved in its VPA process supported by EU
programmes and eight ITTO producing member countries are in the process of negotiation (cf. section
20
4.1.7). In addition, there are bilateral or regional initiatives in this area in non-EU consuming member
countries related to support to tropical timber producing countries, notably Australia, Japan, and USA.
Twenty percent of TFLET projects have carried out activities, or are in the process, in this area (Figure2.20). In addition, four BWP activities have been implemented in policy development work under
TFLET including on SME capacity to produce and trade timber from legal and sustainable sources,
trade promotion, and global assessment of tropical forest tenure.
Regional and international cooperation initiatives were implemented (or are in process) in a quarter ofthe projects, closely linked with policy development. Typical examples have been participation inworkshops and inviting participants from neighboring countries to national workshops and training
courses to share knowledge. The most important element has been support to countries participatingin the FLEGT VPA process (five countries).
Under information sharing and knowledge management activities undertaken, the MP calls for
information on dissemination of FAO/ITTO best practices in forest law compliance policy briefs.
According to the ITTO Secretariat, a total of 500 copies were printed which have been distributed. In
addition, the policy brief has been downloadable from the ITTO website.

20

www.euflegt.efi-int/vpa-countries (consulted November 15, 2014)20

Figure 2.20

International cooperation in forest law enforcement andgovernance in TFLET projects
%

0

10

20

30

(a)

20

(b)

20

(c)

50

25

(d)
(e)

40

40
15

Key:
(a)
(b)
(c)
(d)
(e)

Increase in the number of ITTO member countries participating in international and regional
initiatives to improve forest law enforcement and governance
Increase of ITTO member countries in trans-boundary timber control processes
Increased number of ITTO member countries engaged in regional and international cooperation
initiatives
FAO/ITTO best practices on forest law compliance policy briefs disseminatedInformation on timber procurement and due diligence requirements disseminatedOn dissemination on timber procurement and due diligence requirements, the report Forest law
compliance and governance in tropical countries (ITTO/FAO 2010) was produced, printed anddisseminated. In addition, in 2011-2012 the report was downloaded from the website 959 times of
21
which half in French and about 40% in Spanish.
In addition, other reports prepared by ITTO under BWPs on this subject area continued to bedisseminated such as Developing forest certification - Towards increasing the comparability and acacceptance of forest certification systems worldwide; The pros and cons of procurement; and Tracking
sustainability. Review of electronic and semi-electronic timber tracking technologies (2012).
In the Tropical Forest Update (TFU) articles have been prepared on the TFLET subject areas (e.g.,
TFU 19/3 – Procuring favorably, TFU 22/1 Nature’s barcode: the simplest way to track wood, TFU
22/2 – Keeping track (several articles), together with lessons learned from individual TFLET projects(e.g., TFU 23/2 Linking conservation and livelihoods).
In addition, the country level technical reports on law enforcement and governance as well as
certification and verification have been prepared and disseminated, e.g., under TFL-PD 017/09 Rev 2(M) ‘Equipping small and medium sized forestry enterprises in China for procurement of tropical timberfrom legal and sustainably managed forests’, two technical reports on “China’s tropical timber
processing SMFEs and their opportunities for procurement of timber from legal and sustainable
managed forest” and “Policy suggestions for promoting procurement of timber from legal andsustainable managed forest in SMFEs” have been prepared. A full list of technical reports produced
under the completed TFLET projects is given in Annex 4.
Fifteen percent of TFLET projects have reportedly disseminated (or are in the process of doing so)
information on timber procurement and market requirements on legality and sustainability among
national stakeholders. The actual figure may be much higher as this aspect has not always been
specifically reported in PCRs.

21

Source: Website download statistics

21

2.1.16 Conclusions
The TFLET Thematic Programme has made a strong progress towards all its specific objectives thatappear relevant to country conditions. In particular, the support to communities and, to a somewhat
lesser extent, to SMEs has been well covered but it would often need to be defined how their
engagement in legal and sustainable supply chains could be mainstreamed.
It should be taken into account that not all the TFLET objectives and activities are applicable in all the
producing member countries. A national action plan to strengthen law compliance and to promote thetransformation of timber production and trade could be a useful tool to build up a coherent series ofactions to achieve the TFLET objectives that are relevant for the country as was done e.g., in
Guatemala.
There are, however, some gaps in programme implementation that should be addressed in the future,including development of public procurement policies and codes of conduct of the private sector aswell as developing cross-border cooperation on trade regulation and control. This may require
proactive measures from the programme side, as it cannot be expected that these gaps could be duly
addressed through open calls for proposals (cf. section 5.1 for discussion on this issue).
All the technical papers produced by the TFLET projects were reviewed for this assessment. In
general the quality was from satisfactory to good, in several cases excellent. However, there were alsoa few papers that were weak (descriptive with limited analytical content, partly repetitive from earlier
studies). This issue needs to be carefully monitored in the future, including the competence ofconsultants used.
According to the PCRs, stakeholder consultation is included almost in all the projects. However, theavailable information does not allow a proper assessment on the adequacy of consultations.
Nevertheless, it is clear that in most projects stakeholders were involved during the entire
implementation period through various means (PSC members, workshop participants, respondents tosurveys, users of project websites, trainees in participatory training courses). However, there were afew projects where stakeholder participation appeared in practice to have been limited to participationin consultative workshops during the inception phase. Therefore, this issue needs to be revisited when
information on ex-post evaluations becomes available.
While the TFLET Programme Document has largely provided a relevant framework for project work, it
would benefit from updating in view of recent developments in markets and international policies.
There is even more need for revising the Monitoring Protocol to make it more applicable for setting
targets and measuring progress. The current guidance on how to use the MP in the design stage has
not resulted in intended results. One option to improve monitoring and reporting is to provide specificguidance for how project outputs should be reported in progress and completion reports as thepresent practice is not systematic and, therefore, does not allow systematic compilation ofcomprehensive information on results on the programme level.
2.2

Lessons learned from TFLET

The completed and on-going TFLET projects and activities represent a wide variety of interventions on
international, national and local levels. This synthesis is based on the project completion reports andother documentation of TFLET projects listed in Annex 2.
The key lessons suggest that governance reforms can only be driven by government-led initiatives,
not from outside. Strengthening of law enforcement requires much more than training of enforcement
officers which is also necessary. Awareness raising and provision of information on benefits arisingfrom improved law compliance to communities and SMEs is necessary for which a cadre of local
trainers and extension workers is required. Piloting on a sufficient large scale in representative
conditions involving all stakeholders has proved to be a good approach for choosing between options
for institutional arrangements and timber tracking technologies.

22

2.2.1

Awareness raising on strengthening forest governanceIn general, the governance in forest zones is often weak. The existing institutional structures and theavailable human resources do not allow adequate development of supervision and control of forest
operations. The level of illegal operations can be much higher than the published estimates of thecompetent authorities.
The responsible authorities and forest users do not often understand the importance of the regulationof forest utilization for ensuring their future potential and therefore, information and educational
campaigns are needed.
Channels of communication between the institutions and the communities are typically weak,particularly for the latter to have access to regulations and to improve the management of forest
resources in the country.
Improved governance and law enforcement are usually needed in the vicinity of forest areas toprevent encroachment, illegal logging and poaching. At the same time community members need tounderstand the conservation concept and benefits they gain from it. If local people value theconservation outcomes supported by law enforcement, they will assist in avoiding law violations andcooperating with local enforcement agencies to prevent or uncover violations.
Awareness raising requires extensive work in the field. Therefore the project strategy needs to include
specific activities for this purpose. Different actors, in particular local communities, should be made tounderstand the benefits that they can obtain from the project targeted at improved governance.
Awareness raising and information on benefits arising from improved law compliance in the community
is necessary for which a cadre of local trainers and extension workers is required. In order to deploy
these agents to communities, a promotional information campaign may first be required throughmeetings with community groups to allow direct dialogue with farmers, community leaders, women’sgroups, and youth. The target is to make the local population to fully understand how theirenvironment-based livelihood activities depend on forests, be they under statutory protection orsustainably used.
2.2.2

Building human resource capacity in law enforcement

Strengthening law enforcement requires more than technical training of enforcement officers. Projectexperience suggests that multi-stakeholder workshops can be very useful when involving law
enforcement officers (civil service police, the justice department staff, public prosecutors, forest
guards, etc.), local communities, the private sector, NGOs and other stakeholders. Through such an
approach, enforcement agencies receive insights into relevant regulations and policies as well as theorigin of problems in the field.
Open discussions, experience sharing and crime case methods help improved understanding amonglaw enforcement officers on operational problems and the use of right regulations in specificcircumstances. Among other stakeholders training is needed on what law compliance entails inpractice with regard to their activities. Based on the experience of a field-level pilot project, theapproach can be expanded to other areas. Success tends to depend on the support of local
stakeholders which can be gained through a major support component to improve their livelihoods.
Other useful elements can be improved information and policy development initiatives such as
development of a strategic plan for strengthening law compliance.
A code of conduct and professional ethics for forest enforcement officers was developed in Cameroon
and such an initiative could be taken in other countries.
In capacity building among communities, increased knowledge, skills and practical experience enable
continued progress in awareness on the benefits of sustainable development and forest conservationthat derive from strengthened governance. Perceptions that the purpose is only to exercise more
control on communities should be changed from the outset.

23

2.2.3Developing timber tracking systems

A number of ITTO projects have reviewed the existing technologies for timber tracking. Effective
sharing of the documents produced could reduce similar future work in other countries. The ITTO
Technical Paper 40 Tracking sustainability provides a good basic document but technology
development in this area is rapid and therefore periodic updating would be useful. National work on
reviewing available technologies should focus on their applicability in local conditions.
A flexible combination of tracking technologies and administrative processes by region within acountry is often needed in view of differences in infrastructure, connectivity and access conditions.
Selecting technology
Proven technologies are often preferable because of the improvements obtained and credibility among
stakeholders. However, the benefit-cost ratio should be positive. In humid tropical conditions tracking
technologies require adaptation to changes in temperature and rainfall and periodic calibration.
Electronic tracking is useful for forest management and other phases of the supply chain up toexportation facilitating management systems of private enterprises. Adopting an electronic tracking
technology can yield immediate benefits for companies which have already improved technologies forforest inventory and marking of trees to be harvested, planning and monitoring of their operations, andmanagement information systems required by voluntary certification. In community forest enterprises
where paper-based information systems are common, introducing electronic tracking can allow quick
development of digitalized comprehensive management systems.
For an implementation project of new tracking systems, it is necessary to have sufficient pre-planningbefore the start-up. Technology options should be tried to prove their appropriate functioning indifferent altitudes, temperatures and extreme climatic events that may occur in local conditions. In the
procurement contract, provisions should be made for suppliers to make necessary adjustments in thesystem to ensure optimal functioning in the future.
Tracking technology suppliers in the international and national markets can provide solutions which
can be implemented by private companies, indigenous and other local communities and public forest
agencies on different levels.
As there is always some resistance to adopt new technology in the timber sector which is known for its
conservatism, a participatory process in the project can arouse interest and active engagement among
local communities, private sector enterprises and government agencies. Pilot projects havedemonstrated that enterprises and indigenous and other local communities can adopt electronic
tracking in their forest management. However, the key condition in the process is a convincing
analysis of costs and benefits to be realized. A local pilot project can be considered a success if theparticipants express their willingness to continue the electronic tracking activities at the end.
To avoid misunderstanding it is useful to make it clear that electronic tracking does not replace forest
technicians responsible for supervision and control but it offers a new useful tool to improve quality,transparency and credibility of their work.
Implementation of improved tracking system
Establishment of trust between different actors of the supply chain is fundamental for the success of
any initiative on tracking. Tracking is an effort that requires permanent collaboration between theparties as it has to address weaknesses in infrastructure and logistics in the entire supply chain and in
the administrative system on different levels (local, sub-regional and national).
Tracking needs a reliable information base, including forest inventory to allow correlating data indistinct points of the administrative control, permitting monitoring and evaluation in line with theoperational processes of companies, certification bodies, authorities and clients.
The use of technologies should result in consistent and effective implementation in the entire chain-of–
custody (COC) to ensure confidence among actors and users as well as the export market. Product24

coding and marking should be universally applicable and there should be no problems in reading andinterpreting the information in any stage of the COC, particularly in the international market.
However, the standardized and simplified templates to be used for data capture and recording should
be adoptable by SMEs and consider the peculiarities of their varying categories and nature ofbusiness. There is likely to be a need for continuous research and the gradual “practice to perfection”
to provide tools that enterprises can conveniently and efficiently use has proved to be useful.
Implementing a tracking technology has added up to 10 to 15% to the total operational costs. They
should be considered an investment that at the same creates savings in time (up to 50%) as well as
improved quality of work. With accumulating experience the phases of the supply chain can be
simplified creating further savings in costs and time thereby improving competitiveness.
Realistic costing of the development and adoption of a nationally applicable improved timber tracking
system is necessary for ensuring respective financing. A good initial work risks to be lost if only partial
financing can be made available.
Mainstreaming innovations
A precondition for successful implementation is institutionalization of the tracking system of forest
products in forest-related administration at all levels. The outcome should be availability of reliable
information and effective supervision in a manner that is transparent and collaborative for forest users.
Mainstreaming of timber tracking in tropical production forests requires leadership, consultation andvoluntary inclusive participatory processes.
Subcontracting the verification and control activities to an external independent body can be a useful
temporary solution to break the resistance by supporters of status quo.
It is clear that effective tracking which results in information on the legal and sustainable source oftropical timber products generates confidence allowing access to demanding markets. Verification ofcompliance with the relevant SFM and COC standards can demonstrate that the supplier has
respected the environment and generated sustainable well-being for forest actors, especiallyindigenous communities. This will be particularly important during global financial crises or recession
periods to avoid denial of market access due lack of credibility of the legal origin of tropical timber andtimber products.
Reliable tracking associated with certification of sustainability can be used by producers (concession
holders, communities, private companies and entrepreneurs) to promote their products. The public
sector can encourage the use of such products. For small-scale producers this is important allowing
preferred access to market niches which offer higher prices for timber which has been reliably verified
to come from legal and sustainable sources.
2.2.4

Engaging small and medium-sized forest enterprises in law compliance

Project design has to reflect the needs and capacity of SMEs to gain their participation and ownershipin improving law compliance. It is important to make enterprises to understand what benefits they canobtain through the transparency of the supply chain and that economically they will not be losers whenlegality assurance measures are taken to meet the requirements of export and domestic markets,
including public procurement.
The process of engaging SMEs should be supported (and sometimes led) by the competent
government agency. Close monitoring can help identify legitimate concerns that enterprises may have
due to their inability to comply with requirements which are simply beyond their capacities.
Governments need to provide solutions to these concerns to ensure smooth progress. Therefore,
paper-based tracking could be applied alongside electronic devises due to capacity limitations in
SMEs.

25

A phased approach could be useful starting to work with those SMEs which are already receiving
international support to undergo individual or group certification processes as they understand theimportance of market requirements for their future success.
A simple guide on legal compliance targeted at SMEs has been useful for training and for futurereference by field operators.
The role of industry and trade associations is important in projects targeted at SMEs. Grouping ofenterprises can maximize project effectiveness within available resources, particularly in planning andengaging in industry and community outreach for training, coaching, experience sharing and obtaining
feedback to improve project implementation.
The cost of technical training in implementing tracking systems can be shared with the beneficiary
SMEs if they can be organized as a group to pull together resources. Cooperation would significantly
reduce enterprise-level costs of legal verification and SFM certification.
A common platform for the whole industry can be created to facilitate implementation and serve fordissemination of information through the media, internet, trade associations, NGOs, local knowledge
institutions, etc., with the support of competent government bodies.
2.2.5

Training

For improving law compliance and enforcement training is needed among all stakeholder groups.
Training on implementing tracking systems should focus on the private sector and enforcement
officers but should also be extended to other stakeholders, including government agencies, the private
sector, and communities in order to help establish trust among all the actors.
Auditor training has proved to be an important necessary element to complement development workon legality definitions and timber legality assurance systems. In Africa a significant pool of local
auditors has been established through a sub-regional project using the regional ITTO/ATO andnational Principles, Criteria and Indicators as reference documents. This pool of trained persons has
been able to meet the demand for qualified staff in legality verification and certification audits.
Local knowledge is critical for consistent auditing work in specific country conditions. Auditing quality
has been challenged in a number of cases when successive audits by external specialists haveresulted in different interpretations of standard requirements for legality or sustainability.
Strengthening capacities of enterprises, trade associations and other stakeholders needs adequate
resources for organizing training and information sharing workshops, field extension, hands-on
practical training, and setting up self-regulating norms and standards.
Technical support of certification bodies through pre-audits and other advice has also helped
communities in compliance with the regulations and requirements of voluntary standards.
Technical training in verification of law compliance should be formally recognized as a competence
requirement by government agencies and the private sector. This would result in improved quality of
training and increased interest among potential trainees if the acquired competence be linked with
their career development.
Training impacts can be reduced due to frequent staff changes in participating government agencies
resulting in lack of critical mass of trained personnel in key agencies. Repeated training can therefore
become necessary.
Law compliance and enforcement should be included in the curricula of forest education institutions.
2.2.6

Partnerships

Multi-stakeholder partnerships have been an important factor in establishing relationships and roles of
institutions that can support project design, implementation and monitoring.

26

Partnerships with local, national or international NGOs can be highly useful contributing to market
promotion of community products, organization of stakeholder participation and training events.
2.2.7

Inter-agency coordination and cooperation

Due to common difficulties in inter-agency coordination and cooperation, it can be necessary toestablish a formal forest law enforcement committee through a high-level decree which would
integrate responsible ministries and agencies in forestry, environment, police, judiciary, finance,
customs, and others. Such an arrangement would also contribute to the sustainability of efforts tostrengthen forest governance.
If a country has several parallel projects and initiatives dealing with strengthening of governance andlaw enforcement, there is a need to establish a close transparent coordination to enable clear
definition of roles and responsibilities, and elaboration of truly complementary work plans.
Development objectives tend to be similar in these efforts but sometimes overambitious, calling forenhancing synergies between parallel efforts rather than duplicating work.
The FLEGT processes have been boosted by capacity building of TFLET projects, particularly auditor
training. National C&I for SFM has facilitated definitions of legality and its indicators for verification incountries with, or negotiating, a Voluntary Partnership Agreement with the EU.
In Central Africa, linking projects with COMIFAC’s Convergence Plan has helped sharing ofexperience and harmonizing national policies.
2.2.8

Knowledge sharing

Having accumulated experience, knowledge could be shared through capacity building events which
can be open for participants from neighboring countries as was done in the Congo Basin. Respective
additional costs are not usually included in project budgets and necessary funding may have to besought from other sources. The possibility for such knowledge sharing could be considered in projectbudgets when the results are applicable in the region or neighboring countries.
A whole range of communication means has proved to be useful for keeping stakeholders and thegeneral public informed on the project’s progress and outputs. These can include brochures, progress
reports, web news releases, local newspaper editions, radio interviews and broadcasting, prerecorded TV shots, PowerPoint presentations, photograph galleries, and linking with existing
networks.
Communication activities have been under-budgeted in a number of projects which has reduced theirimpact.
2.2.9

Sustainability

Sustainability of TFLET projects tends to depend on changes in policies and institutional arrangements, which may not be possible to achieve during relatively short implementation periods.
Sustainability is also affected by changes in the benefits for forest users and indigenous communities
who should be supported in implementing follow-up activities to ensure achievement of SFM.
It takes time to implement the market’s legality and sustainability requirements by SMEs and therefore
project sustainability often requires follow-up guidance and other support by the government andknowledge institutions. Policy recommendations need to be implemented to promote the financial
viability of SMEs and environmental best practices in order to have lasting impacts.

27

2.2.10 Project design
In the planning of project design, broad-based stakeholder participation is necessary to capture
specific needs of a wide range of beneficiaries that must be duly addressed. Defining the roles forstakeholders engenders their buy-in into project implementation.
Implementation of a pre-project has often been important to allow hands-on direct working with various
actors in forest zones. A pre-project can clarify the reality of forest zones in the country, especially withregard to communities living in them and depending on them in a way or another. It has also been
important for establishment of a clear baseline which is often missing in project plans.
Overambitious project scopes should be avoided. An example was a project that attempted in parallelto achieve several specific objectives. All were relevant and necessary but activities to achieve themshould have been phased through a logical sequence and broken down into individual components or
sub-projects, when deemed necessary (cf Box 2.1).
Box 2.1

Example of comprehensive project objectives attainable only in the long run Cameroon

Objectives:
1. All actors concerned in the timber sector are complying with their fiscal obligations and timber royalties andtaxes are paid as required by the law, and the government has received all the tax income from timber
harvesting and exports.
2.
The logging companies respect forest laws and regulations relating to timber harvesting and transportation,and the rights of forest communities.
3.
Forest communities receive their share of the tax revenue from harvested timber.
4.
The image of the country’s timber and timber products is improved and the country’s credibility is enhanced.
5. The government coordination is set up to help make sure that the results will be sustainable.
The project made a significant contribution towards the achievement of the identified objectives but they were too
ambitious in view of the limited resources available and short duration of the intervention. Fortunately, parallel
initiatives linked to the EU FLEGT VPA process worked towards the same objectives and synergies could
therefore be enhanced
Source: TFL-PD 003/09 REV. 2 (M)In countries with short-term policies and frequent changes in institutional structures and decisionmakers, it is important to consider these hurdles in risk assessment and, in particular, take necessary
measures when the project implementation depends on information by government agencies.
Typical project risks (delays in fund transfer and decision making, staff rotation, bureaucratic
procedures, etc.) are relatively well known in each country but rarely articulated in risk analysis in thedesign stage. Therefore, contingency plans are not made and valuable project implementation timeand inputs are lost.
An example of good project design is given Box 2.2. It highlights a realistic strategic initial intervention
in developing well-tested tracking systems with full participation of pilot communities.
2.2.11 Project implementation
Typical implementation risks are rapid changes in the economic environment of the project(particularly price increase of planned inputs) and government bureaucracy and bottlenecks.
Lack of timely decisions on nominating officials from the participating beneficiary ministries has
sometimes led to long delays (up to eight months) in organizing training events, which cannot be
considered acceptable. Similarly, difficulties in data collection from various ministries have been
another reason for significant delays in project implementation. It is apparent that in projects onstrengthening of governance involving several ministries and government agencies, a focal pointshould be formally designated in all the participating organizations to facilitate data collection andpursue timely decision-making by Executing Agency (EA) management.

28

Box 2.2

Example of a successful TFLET intervention in the development on producttracking systems - Peru

Problems
A major problem in the export marketing of timber products in Peru is the high level (50 percent) of informality offorest production and commercial operations. As parts of such sources of supply are dubious, there is asignificant risk that the main markets, such as the North America and Europe, will close their doors to Peruvian
products. Therefore, verifying the legal origin can help overcome this risk. At the same time, producers
implementing environmentally and socially responsible SFM practices could gain a competitive advantage
Objectives
The purpose of the pre-project was to contribute to the consolidation of the system of forest concessions fortimber production by ensuring that the Peruvian products can demonstrate their legal origin from sustainably
managed forests. The specific objective was to design and test a pilot system for tracking of Peruvian export
timber, including assessment of institutional and budgetary requirements of voluntary implementation of thesystem by national companies
Outputs
The design of the pilot system involved (i) identification of involved stakeholders; (ii) assessment of the suitabilityof technical options available internationally and estimation of benchmark costs of chain-of-custody options; (iii)
design of individual and group consultation procedures for stakeholders, which was a critical element for the
project’s success; (iv) field-level testing in six community forests and downstream industry; (v) model adjustment
and validation; (vi) development of sectorial policy proposals for implementation of the system; and (vii) recording,systematization and dissemination of results. Based on these elements a project proposal for implementation of
the validated system was elaborated, including guidelines and identification of necessary conditions to be put inplace
Project strategy
The following elements of product tracking were covered during the course of work:
1.
Forest inventory and tree census
2.
Software for mapping of tree density and trees to be harvested
3.
Marking of standing trees, stumps and logs in the forest
4.
Marking of sawn timber in the sawmill
5.
Marking of product packages in trucks
6.
Control of truckloads in checkpoints (forest and port)
7.
Control of product packages in port warehouses and loading of containers
8) Management of information and the chain-of-custody, and monitoring of the administrative process
Source: PPD 138/07 Rev. 1(M)It is important to ensure in advance that the EA is capable for implementing the project. If the EA discontinues its operation during the implementation period (as has happened at least once), there needs
to be a contingency plan to ensure smooth completion of the on-going activities and handing over the
results to an alternate competent body.
Without convincing reliable information on the fiscal, financial and economic outcomes of policy options to improve forest governance, necessary adjustments cannot be justified by high-level decisionmakers.
Studies on problems of legality, governance, economic and political aspects of the domestic and external markets served by the formal and informal sectors are complex and require strong analyticalskills. These have proved to be in short supply in many producing countries. This issue needs more
attention in the future through knowledge sharing, strengthening of education, hands-on training byexternal counterparts, and other measures.
Experience on many projects suggests that the agreed work plans should not be taken as too rigid
and often reallocation of resources between budget lines becomes necessary. This is particularly thecase when some project components are delayed for external reasons and the logical sequence of thework plan is no more valid. In such situations adjustment of the work plan can reduce costs and eliminate the need for project extension.

29

There is evidence that PSC meetings twice a year can be highly productive in complex ambitious projects. The work plan can be frequently reviewed for necessary adjustments, which also contributes to22generating innovative ideas drawing on the broad international experience by the ITTO Secretariat.
In selected projects, establishment of a consultative committee to complement the PSC can be important to regularly inform stakeholders on the results and making them to adopt and agree upon thenecessary adjustments in the objectives of the project plan. A budgetary allowance for the working of
the committee should however be provided.
3.

REVIEW OF THEMATIC PROGRAMME ON REDUCED EMISSIONS FROM
DEFORESTATION AND FOREST DEGRADATION AND ENHANCING ENVIRONMENTALSERVICES (REDDES)

3.1

Programme coverage and achievements

3.1.1

Programme portfolio

The REDDES portfolio reviewed here consists of 29 pre-projects and projects of which 13 have been
completed and 16 are being implemented (Annex 2). 23
These projects have directly benefited a total of 16 countries, five in Africa, four in Asia-Pacific andseven in Latin America. Two projects were international and there was one regional project in West
and Central Africa.
Cameroon, Ghana, Guatemala and Indonesia had received direct support through three projects each;Togo, China, and Peru through two; and the others (Brazil, DRC, Liberia, Malaysia, Myanmar,
24
Ecuador, Guyana, Honduras, and Mexico) through one each.
The total funding of the programme amounts to USD 9.5 million. The project size has varied from
USD 0.1 million to USD 1.1 million in ITTO contribution. The project duration has varied from one tofour years but is generally two to three years.
In sections 2.2.2 to 2.2.10 all the reviewed pre-projects and projects financed under REDDES are
included, be they completed or on-going. The assessment in sections 2.2.11 to 2.2.14 covers only the
13 completed projects and pre-projects. The assessment made with regard to the Monitoring Protocol
is contained in section 2.1.15 covering all the pre-projects and projects, as appropriate.
3.1.2

Programme objectives

In general, the REDDES projects cover well the first four specific programme objectives. Reduction of
unplanned deforestation (objective a) and that of forest degradation (b) are essentially closely related
environmental goals which could also be considered part of the general objectives of the Programme.
These two objectives were a focus area in almost 70 percent of the projects reviewed and they werealso covered by another 20 percent (Figure 3.1
Specific objectives of REDDES projects).
The third objective (c) Maintain and enhance climate change mitigation and other environmental
services of tropical forests actually is actually a result of the targeted outcomes of objectives (a) and(b). Climate change mitigation and environmental services have been the focal area in half of the
projects and significantly covered in another third. All projects targeted improvement of the quality offorest management contributed to this objective.
The fourth REDDES objective (d) is to contribute to the social and economic sustainability and wellbeing of forest-dependent communities by increasing forest values through forest restoration and
22
23

24

However, this would have budgetary implications if the PM would have to travel twice a year to attend PSC.
There was one more REDDES project in Thailand on which financing decision was made but the project could not be implemented due to the political situation in the country.
RED-SPD 058 058/11 Rev. 2 (F) Developing REDD+ES in the Brazilian Atlantic rain forest was pending agreement during
the writing of the report and was not included in the review.

30

25

rehabilitation, as well as payments for forest-based environmental services. The latter part identifies
means for how forest values can be increased, i.e., restoration of degraded forests and rehabilitationof deforested lands not designated or used for other purposes. Almost three quarters of the reviewed
REDDES projects contributed to this objective as their focus area.
The fifth objective (e) enhance adaptation and resilience of tropical forests to negative effects ofclimate change and human-induced impacts had the weakest coverage of the reviewed REDDES
projects. Only in 14 percent this was a focus area and about 70 percent had no explicit coverage ofthis objective. The result is in a way underestimating as many, if not most, field projects focused on
SFM for environmental services include resilience as an inherent element even though not explicitly
stated. Adaptation should be considered in these projects, which may be often the case. However, theresult suggests that there is a certain gap in the project portfolio concerning adaptation to climatechange which will have to be increasingly considered both in natural and planted forests.
Figure 3.1

Specific objectives of REDDES projects
0%

Reduce deforestation
Reduce forest degradation;

20%

40%

60%

10 7

14

69

7 3

21

69

80%

100%

No coverage
Minor coverage

Climate mitigation/other ES

14 4

Socio-economic sustainability

21

Adaptation and resilience

3.1.3

50

32

Substantial coverage
Focus area

72

33
71

4 11

14

Programme strategy

Out of the four REDDES strategic intervention areas, three were well covered in the portfolio (Figure3.2). Assessment and diagnosis was the focus in two third of the projects and in another 21 percent it
was substantially covered. A number of those that had no coverage were projects which werepreceded by pre-projects with diagnostic components.
Enabling conditions and capacity building were a focus area of three quarters of REDDES projects
and only in seven percent of the projects these aspects were not covered.

25

In fact, the objective (d) more like a goal than a specific objective.

31

Figure 3.2

Programme strategy areas covered in REDDES projects
0%
Assessment & diagnosis

20%

14 3

40%

60%

21

80%

100%

62
No coverage

Enabling conditions/capacity building

7 3 17

72

Minor coverage
Substantial coverage

Demonstration

48

3 17

Scaling up/dissemination

45

21

31
24

Focus area
10

Demonstration was an element in more than half of the projects and in a third it was a focus area,
mostly community level pilots with demonstration areas established.
Scaling up and dissemination had the least coverage among the four strategic areas. However, in ten
percent of the projects this was a focal area and substantially covered in another quarter. Minor
coverage (i.e., routine dissemination activities at the end of the project) was found in a fifth of theportfolio. The result is partly logical as many projects could not yet produce results in demonstration
areas. Furthermore, several projects had underestimated budgetary resources for this purpose.
3.1.4

Level of implementation

About forty percent of the projects have been implemented at the level of local community, enterpriseor other economic unit (Figure 3.3). One third was national level undertakings and seven percent wereregional or sub-regional by nature. Almost a fifth was implemented at international level being related
to policy issues and development of innovative instruments such as carbon markets and monitoring,
reporting and verification (MRV) techniques. However, many projects had interventions on more than
one level.
Figure 3.30%Implementation level of REDDES projects
20%

40%

60%

80%

100%

Local, enterprise, econ. unit
Country

Level

41

33

7

19

Regional/sub-regional
International

3.1.5

Project types

The strongest focus areas of REDDES project work have been in capacity building of communities,
enhancing stakeholder participation, pilot projects on local level which is in line with the overall project
strategy (Figure 3.4). About 80 percent of the projects had capacity building as a key focal area andanother tenth covered it in a minor manner. Stakeholder participation was part of three quarters of the
projects, mostly as a focus area. About 70 percent of the cases had a focal or substantial componentof pilot project on local level.

32

Policy analysis was a focal area in half of the projects and substantially covered also in another elevenpercent. Institutional strengthening was focused in more than a third of the projects and was acomponent in another 28 percent. As found in the analysis of coverage of project objectives,
dissemination had as a whole a much lower coverage than in the other activities but still significantly
covered by more than half of the cases.
In terms of environmental services, forest carbon was focused in 59 percent of REDDES projects andin another 17 percent it was substantially covered. Biodiversity was explicitly covered in almost half ofthe projects, many overlapping with those focusing on carbon. In a third of the cases biodiversity wasa focal area or substantially covered. Water had the least coverage of REDDES projects with almost
seventy percent having not identified it in their components. This is a little surprising as there areseveral successful initiatives in ITTO producing member countries and elsewhere in which the focus
has been on water and soil conservation (e.g. Colombia, Mexico, Costa Rica).
Figure 3.4

Types of REDDES projects
0%

20%

40%

60%

80%

Institutional strengthening

36

14

14

36

Policy analysis/development

39

11

Pilot project on local level
Capacity building
Carbon

29
7

3.1.6

17

No coverage

14
69

24

Dissemination

28

Minor coverage

59

52

Stakeholder participation

Other

57
79

24

Water

50

14

10 3

Biodiversity

100%

14

24

10

17

10 3

Substantial coverage
Focus area

62
17

31
88

24
444

Target groups

The most frequent target groups have been forest communities and indigenous groups which were themain beneficiaries in REDDES projects (69 and 41 percent of the projects, respectively) (Figure
3.5Figure 3.5 Target groups of REDDES projects
Forest owners are also important they were main beneficiaries in 39 percent of the projects and direct
minor beneficiaries in another 29 percent.
Government agencies were a main beneficiary group in seventy-nine percent of the projects. This isrelated to activities in policy development (assessment and diagnosis), training of government staff
and other actors providing support services to forest communities, indigenous groups and otherstakeholders.
CSOs have rarely been identified as a main beneficiary (11 percent) but in most other cases they havebeen indicated as direct or indirect minor beneficiaries. The situation has been largely similar but
somewhat weaker with knowledge institutions and other related bodies.

33

International donors were targeted at in almost forty percent of the projects and the global community
in 25 percent, but they were usually identified as a secondary target group. Many REDDES projects
produce public goods that can be shared internationally and therefore international stakeholders are
more important potential beneficiaries of the REDDES programme than these percentages indicate.
REDDES projects have typically more than one principal target group, which explains the overlap in
the results. The overall pattern is consistent with the identification of target groups of the Programme
Document which identifies forest communities, indigenous groups, and forest owners and managers
as the ultimate target groups. The other stakeholders fell into the category of intermediate target
groups.
Figure 3.5

Target groups of REDDES projects
0%Communities

50%
17

3 10

Indigenous groups

69
3 7

48

Forest owners and managers

29

4

Policy makers

25

18

Government

7 0 14

Private Sector

36

Civil Society

21

Knowledge Institutions

25

Internatinal donors
Global community

3.1.7

100%

41

29

39
46

11

79
21
18

Minor but indicated indirect
25

50
39

61
75

No coverage

18

Minor but indicated direct11

Main beneficiary

18

18

25

11 4
18

44

Executing agencies and partnerships

Government agencies were executing agencies in 34 percent of the projects. Knowledge institutions
executed 28 percent, CSOs 24 percent and development organizations three percent (Figure 3.6). In
addition to BWP activities funded by REDDES, the ITTO Secretariat executed international projects
that represented ten percent of the total. The pattern can be considered well balanced drawing on
different types of capacity among executing agencies in project implementation.

34

Figure 3.60%Types of Executing Agency in REDDES projects
20%

40%

60%

80%

100%
ITTO
Government

EA

10

34

24

28

3

Civil society organizations
Knowledge Institutions
Development organizations

Partnerships have been common in REDDES projects and only 15 percent of the projects had no
partner identified. Among the rest of the projects reviewed, government agencies have supported
financially almost forty percent of projects from extra-budgetary sources (Figure 3.7Figure 3.7
Collaboration and partnerships in REDDES projects
In 58 percent of cases public agencies have provided support to implementation. CSOs have been
implementation partners in a quarter of the projects and in consultation activities in another sixty
percent. They have also mobilized additional funding in a few cases.
Local communities were implementation partners in 41 percent of the REDDES projects most of whichwere field level pilot and demonstration projects (Figure 3.7). Partnering with them is important toensure the sustainability of interventions. Forest communities and indigenous groups and participatedin the other projects as consultation partners.
Knowledge institutions have participated in the implementation of about 60 percent of the projects andcontributed in another way to another 40 percent.
Figure 3.7

Collaboration and partnerships in REDDES projects
0%20%

Government

40%

60%

38

80%
58

100%
4
Financing

Civil Society

8

24

60

8

Implementation
Consultation

Knowledge Institutions
Local community

3.1.8

61
41

39
55

Other
5

Problem analysis

The problem analysis of the Programme Document stated the core problem to be inadequate capacityof ITTO producing member countries and their stakeholders to maintain and enhance environmental
services and preventing and reducing deforestation and degradation. In addition, a set of common
factors was identified that were perceived to be relevant in many country situations to assist in project
design.
The most frequently identified underlying causes were lack of awareness on policy and governance
failures, inappropriate policy framework and institutions, weak stakeholder capacity and lack of trained
human resources. Lack of investment in SFM and poverty were identified less frequently among thesecauses (Figure 3.8).

35

Among direct causes, lack of awareness on and access to technology and lack of education andtraining facilities were most frequently identified as problem areas. Inadequate forest resource
monitoring, lack of PES mechanisms, and insecure forest and land tenure were included in problem
analyses in less than half of the projects. It is of particular interest that forest and land tenure wasconsidered a focal problem area only in seven percent of the cases and covered in a substantial orminor way in another seventeen percent. This is somewhat surprising as tenure weaknesses are
generally identified as a major constraint for SFM implementation and conservation of environmental
services. On the other hand, relatively short-duration, small-sized projects cannot be expected to leadto significant improvement in land and forest tenure.
It appears that the problem analysis on the programme level would benefit revision to better
correspond to the realities in producing member countries.
Figure 3.8

Problem areas addressed in REDDES projects

0%

20%

40%

38

3

(a)
(b)

(d)

28
14

41
41

24

(f)

7

34

31

31

(i)

52

(j)

48
31
21

3

7
3
3

3

7
34

76

(k)

No coverage

55

55

(h)

(l)

21

38

21

(g)

17

28

7

100%

48
10

3

80%

10

52

(c)
(d)

60%

17

7

Substantial coverage
Focus area

28

14

34

31
24

10

Minor coverage

34
52

Key: (a) to (f): direct causes; (g) to (l): sub-causes(a) Policy framework and institutions(b) SFM investment(c) Capacity(d) Trained human resources(e) Awareness on policy and governance failures(f) Poverty(g) Awareness on best practice(h) Land/forest tenure(i) PES mechanisms(j) Forest monitoring(k) Education and training(l) Technology and knowledge

3.1.9

Risk analysis and mitigation

Thirty-one percent of the reviewed projects had no prior risk analysis. Among those which had
included it, the most significant risks were weak operational coordination and cooperation, politicalrisk, the origin of the proposal (top-down planning not meeting stakeholder needs) which all can beaddressed through firm commitments by the government and the participating agencies to project
implementation (Figure 3.9). In demonstration areas the risk is related to the capacity of communities

36and landowners and their interest in maintaining environmental services. Their full engagement inproject design and implementation and provision of adequate economic incentives (including after the
project termination) are critical factors for project success (cf. also section 3.2.3).
Market incentives for converting forests and availability of adequate funding were only rarely identified
as a risk on project level. On the other hand, two thirds of the projects had identified a wide range ofother sources of risks. These results raise the question of usefulness of a programme level risk
analysis in the Programme Document as a general guidance.
Another issue is the quality of risk analysis in project proposals as in many cases it was dealt withrather superficially and effective mitigation measures were often missing. However, there were also a
few cases with an in-depth analysis and adequate identification of measures to address risks during
project implementation.
Figure 3.9

Risks identified in REDDES projects
0%

Political/govt decision making

50%
25

100%

5

Economic incentives

70

55

5

40

Forest conversion

95

5

Cross-border cooperation

90

10

Proposal origin
Operational cooperation

45
20

Financing
Other

75
80

35

Mentioned but not significant
Significant

55

5

Not mentioned

5

15

65

3.1.10 Expected benefits
In about 80 percent of the projects reviewed, expected benefits covered both economic, social andenvironmental aspects (Figure 3.10). Environmental benefits were in most cases related to forest
carbon but biodiversity was also identified in more than half of the projects and water in more than 40
percent (often implicitly). The result illustrates a common approach to address all the three pillars ofsustainability in REDDES projects which is in accordance with the programme objectives.
About a third of the cases also identified gender benefits among expected outcomes. An example ofprojects which focused on gender is RED-PPD 074/12 Rev. 1(F) Identification of a project on gendermainstreaming in the development of actions to control deforestation and forest degradation to
improve the well-being of communities dependent on forests and other ecosystems in Central andWest Africa. It involved participatory stocktaking on the issue of deforestation and forest degradation
in four countries of the region. The project was also implemented by a women’s organization
26(REFACOF) . In another nine projects gender aspects were part of efforts targeted at community
development.
26

Réseau des Femmes Africaines pour la Gestion Communautaire des Forêts

37

Figure 3.10

Types of expected impacts/benefits of REDDES projects
0%20%

Economic

40%

60%

100%

82

18

GenderSocial18

Environmental

18

4

Carbon/climate

18

11

29

7

64

Biodiversity

80%

Not mentioned

82

Mentioned but not significant

79

43

Water

Significant

71
36

21
57

21

21

3.1.11 Performance
Based on the PCRs, the performance of Executing Agencies was considered good in ninety-one
percent of the cases as the planned outputs were produced within the allocated resources. Minor
problems were reported in the rest (Figure 3.11).
Figure 3.11

Performance in completed REDDES projects
0%

Executing agency

20%
9Partners
ITTO

40%

60%
91

33
13

80%

100%
Major problem

67

Minor problem
Good

88

The situation was different with partners as in a third of the cases various minor problems wereidentified. These were related to e.g., delays in other government agencies’ inputs, lack of committed
resources from other sources, etc. With regard to ITTO’s performance the feedback was good in 88
percent of the cases but in the others minor problems were reported. However, ITTO’s participation in
PSCs was generally valued as it brought new ideas and cross-breeding of lessons from othercountries. The Secretariat’s general advice on project implementation was also reported valuable.

383.1.12 Applicability and replicability
Completed REDDES projects were assessed to be applicable in similar conditions elsewhere in 45
percent of the cases. Almost a fifth of the projects were considered applicable on the national level in27
the country itself and the remaining 36 percent on a regional and international level (Figure 3.12).
Figure 3.12
Applicability of completed REDDES projects
0%

20%

40%

60%

80%

100%

Applicable in similar conditions
Applicable at national level

Applicability

45

18

36

Regional/Int'l
All levels

Three quarters of completed REDDES projects were considered replicable in similar conditions and all28
the others would be replicable with modifications elsewhere (Figure 3.13). This emphasizes theimportance of sharing lessons learned in the programme.
Figure 3.13

Replicability of completed REDDES projects
0%

20%

40%

60%

80%

100%
None

Replicability

75

25

Replicable in similar conditions
Replicable with modifications

3.1.13 Innovation content
One third of completed REDDES projects involved development and application of new technology
29
and one quarter relied on adapted new technology. Strong innovation content was often related todevelopment payment mechanisms for environmental services and new methods of monitoring offorest resources. In another third of the cases existing technology was applied in new conditions. Only
eight percent of projects appeared to have no element of innovation (Figure 3.14).
In general, the strong innovation content in REDDES projects is an important element of the
programme’s value added.

27
28
29

The figure excludes 15 percent of the projects on which there was not enough information to assess applicability.
The figure excludes 8 percent of the projects on which there was not enough information to assess replicability.
The figure excludes 8 percent of the projects on which there was not enough information to assess innovation content.

39

Figure 3.14

Innovation content of completed REDDES projects

0%

20%

40%

60%

80%

100%

No element
Existing technology in new
appliation/conditions

Content

8

33

25

33

Adapted new technology
New technology

3.1.14 Expected sustainability
Project Completion Reports contained a range of measures for ensuring project sustainability. The
following examples are illustrative:••

Formal arrangement to transfer the management of demonstration and other pilot areas to local
community.
Government decisions on future budget and staff allocation to continue with the implementation ofproject activities.

A third of the projects were assessed to have strong likelihood for sustainability and another thirdsome likelihood. The remaining third was considered sustainable provided that continuous financing
30
through a follow-up project or other means can be ensured (Figure 3.15).
Figure 3.15

Expected sustainability of completed REDDES projects
0%

Sustainability

20%

33

40%

60%

33

80%

33

100%

Not sustainable
Sustainable with continous
financingSome likelihood
Strong likelihood

In forty-five percent of the cases a follow-up project was considered necessary (Figure 3.16). In
another nine percent policy revision was foreseen to ensure sustainability. A range of other measures
was considered necessary in about a quarter of the projects. No follow-up action was foreseen in 18
31
percent of the cases, these being projects with strong likelihood for sustainability.
The main reasons for follow-up action needs are difficulties to establish effective feedback from fieldlevel pilot projects to implementation of necessary policy reforms in order to mainstream the acquired
innovative practices. In addition, policy adjustment to introduce effective PES mechanisms tends totake time extending beyond the project duration. The momentum of the project impacts may be lost in
the meantime and therefore some follow-up actions are considered necessary.

30
31

The figure excludes 8 percent of the projects on which there was not enough information to assess sustainability.
The figure excludes 15 percent of the projects on which there was not enough information to assess need for follow-up action.

40

Figure 3.16

Necessary follow-up action of completed REDDES projects
0%

20%

40%

60%

80%

100%
No action
Follow-up project

Necessary follow-up action

18

45

9

27

Policy revision
Other

3.1.15 Project achievements within the Monitoring Protocol framework
Figures 2.37-2.45 summarize to what extent the various output indicators are covered by the entire
REDDES project portfolio, which overlaps to some extent with the analysis in sections 3.1.1-3.1.14.
A. Avoided deforestation, restoration or conservation initiatives established to combat deforestationand degradation
Increased area under SFM, restoration and conservation was covered or is under process by two
thirds of the REDDES portfolio or 19 projects in 16 countries (Figure 3.17). This is almost three times
the MP target value of six countries.
Initiatives on avoided deforestation through delineated land and forest tenure and use rights areincluded in 14 percent of projects including monitoring of forest cover and land use change (4projects). Forest cover monitoring was included in 31 percent of the projects. Establishment of
permanent forest estate (PFE) and forest landscape restoration were part of 17 percent of projects
each, as these activities were often linked with each other. Demonstration areas on restoration were
included in 28 percent of the projects and buffer zone management in three percent. There was a gap
related to trans-boundary conservation areas as no initiatives were reported for this purpose. There
have been a substantial number of Trans-boundary Conservation Area projects under the regularproject cycle, which may explain why there have been no specific proposals to REDDES.
The MP target value of six countries, two per region, has been achieved as the programme activities
under this output area have been implemented or are in the process in much more countries.
However, the MP is unclear on whether all the outputs should be generated in the same six countries.
If this is the interpretation, the MP target value is unrealistic as it is unlikely that all the output
indicators would be feasible in the same six countries (or any other countries for that matter).

41

Figure 3.17

Avoided deforestation, restoration and conservation initiatives of REDDES
projects
%
0

10

20

30

40

Area under SFM/restoration/conservation70

14

Forest cover monitoring

31

Establishment of PFE

17

Landscape restoration

17

Demonstration projects on restoration

Buffer zone management

60

66

Tenure and user rights

Trans-boundary Conservation Areas

50

28
0
3

B. Integration of climate change mitigation/adaptation and other environmental services in the ITTO
guidelines on C&I, SFM, certification, valuation, as appropriate to manage forest area sustainably
In 2009 ITTO/IUCN guidelines for the conservation and sustainable use of biodiversity in tropicaltimber production forests was published and widely disseminated with some support from REDDES.
The document sets out the specific actions that policymakers, forest managers and other stakeholders
should take to improve biodiversity conservation in tropical production forests.
Another main achievement under this output was the revision of the Voluntary Guidelines for
Sustainable Management of Natural Tropical Forests, which was completed in 2014 with partial
support from REDDES. Printing is in process (January 2015) and the document will be disseminatedfrom 2015 onwards.
A policy brief on environmental services Rewarding the service providers was produced in 2014 basedon the results of the international conference on payments for forest environmental services, as acooperative effort between ITTO and FAO.
In addition, 17 percent of REDDES projects in three countries produced policy documents applicableto specific country conditions.
As a whole, the MP target value of this output area (two guidelines/policy documents
reviewed/updated) has been fully achieved and even exceeded.
C. Income generation based on forest related environmental services and other forest outputs by local
communities
This output area has been targeted by 62 percent of REDDES projects in 10 countries (Figure 3.18).
The MP target value was 10% increase in income generation in 30 communities but there is nobaseline information available to measure a percentage increase. The available information neither
allows reliable estimation of the number of communities but it is apparent that support was provided tomore than 30 local communities. The importance of this output in REDDES projects demonstrates thefact that income generation is in most cases a precondition for effective forest conservation (cf. also
section 3.2).
Increased women participation in the community forest related was specifically targeted in a quarter of
REDDES projects (7 projects). In addition, it can be assumed that support to income generation in42

local communities by 17 other projects also benefited women as community members. Section 3.2.3
provides further information on women’s participation in REDDES projects.
Figure 3.18

Income generation and women participation in REDDES projects
%
0

10

20

30

40

50

Increased income

60

70
62

Increased women participation

24

D. Increased recognition of the values of tropical forests and their environmental services
Increased public awareness on the values of tropical forests and their environmental services has
been included in 62 percent of REDDES projects in 12 countries (MP target value is two countries)(Figure 3.19). The activities carried out included awareness raising campaigns, workshops and othertools targeted awareness raising on a local community level. However, measurement of the extent of
increase is not possible without pre-project and post-project surveys among local populations.
PES valuation methodologies were developed or are in process in 31 percent of the projects in eight
countries (MP target value is 1 country).
Identification of forest values and market opportunities were part of 28 percent of the REDDES
projects in six countries (MP target value is increased values and opportunities in 2 countries). The MP
suggests national accounting reports as the means of verification but such comprehensive reports
have not been produced as most of the work carried out was locally based and focused on valuationof selected environmental services and their market opportunities. No project has attempted to32
integrate environmental services in national accounting on a systematic basis.
Figure 3.19

Increased recognition of the values of tropical forests in REDDES projects
%
0

10

20

30

40

Increased public awareness

60

70
62

PES valuation methodologyy

31

Increased value and markets
ES in national accounting

50

28
0

E. Quantification of carbon stocks performed using reliable monitoring and assessment technologies
and/or valuation techniques
32This work is also under development in several consuming member countries.

43

Thirty-four percent of projects in nine countries contributed to the elaboration of national forest carbon
assessment through production of inventory reports both at national and sub-national levels (Figure3.20). Development of national monitoring systems was contributed by 21 percent of projects. The
project in Brazil (RED-PD 029/09) covered the whole Amazon Basin and benefitted a total of six othercountries in the two areas under this output which increases the total number of countries to fifteen.
The MP target value was two national inventories which has been surpassed and this demonstrates(among some other outputs) that there was a much stronger demand for support in this area than was
realized when the MP was elaborated.
Figure 3.20

Quantification of carbon stocks in REDDES projects

0

5

10

15

%
20

25

National inventory reports
National monitoring systems

30

35

40

34
21

F. Value of biodiversity assessed and surveys conducted on land with potential for biodiversity PES
schemesNational and local level studies carried out on assessment of the value of terrestrial biodiversity withpotential for biodiversity schemes were part of 38 percent of REDDES projects in 10 countries. Elevenprojects produced outputs in this area (MP target value is three studies). The assessments on
biodiversity values were in some cases part of broader exercises including other environmental
services.
G. Assessments are made in an attempt to ‘bundle’ environmental services, to maximize forest
related revenues
The MP identifies national forest financing strategies as the sole output indicator for this area (MPtarget value 1 country). Environmental services were developed/assessed in seven percent of the
projects in two countries. Bundling was also considered in projects under the output areas (F) and (D)which targeted assessment and establishment of PES schemes. Due to the obvious overlap, this
output area may not be necessary in the future to avoid “double counting” if the MP is revised in the
future.
H. Community initiatives taken to identify opportunities to increase productive capacity of forests,
including by implementing SFM schemes
Community initiatives were taken or are in process to increase the area of community forests
protected against fire, pests and diseases in more than half of the REDDES projects (Figure 3.21). In
practice, these 15 projects in ten countries tend to be broader than limited to community forests alone
which makes it difficult to establish the number of communities involved. The MP target value is 30
communities which can be assumed to be surpassed. The available information does not allow
compilation of data on the MP output indicator increased area as sometimes it is a question ofstrengthening the level of protection.
Improved silvicultural systems are reported to be included in 28 percent of the projects in six countries.
The MP target value is 3 countries. There is no information available as yet on how widely thesesystems are used.

44

Figure 3.21

Community initiatives taken in REDDES projects

0

10

%
30

20

40

50

Community initiatives

60
52

Silvicultural systems

28

I. Capacity building initiatives undertaken to implement policy reforms and/or clarify land/forest tenurearrangement
Capacity building activities for policy reforms and clear forest and land tenure arrangements,
integrating climate change mitigation/adaptation and other environmental services as expressed in the
MP is a little unclear how the link with reforms and mitigation and other services should be linked(apart from carbon rights). In any case, work in this area has been carried out or is in process throughdifferent modalities (stakeholder workshops, multi-stakeholder platforms, training courses, etc.) in 21
percent of the REDDES projects in five countries (MP target value is 3 countries). Evidence on to what
extent they, together with other necessary efforts (diagnostic studies, national plans, field levelpiloting, etc.), have led to implementing national policy reforms and clearly established forest and land
tenure arrangements is not yet available and should be collected through ex-post evaluations.
J. Information sharing and knowledge management systems operational
The MP calls for establishment of one global network on forest landscape restoration focusing on
benefits of environmental services. The Global Partnership on Forest Landscape Restoration(GPFRL), of which ITTO is a founding member, has established a learning network involving 546
members. The aim of this platform is to connect Forest and Landscape Restoration practitioners
worldwide, to exchange experiences and ideas on how forests, trees and their functions caneffectively be restored. Their learning website includes information on six ITTO countries with tropical
33
forest resources. The added value of a new separate network under ITTO can be questioned taking
into account of several other recent initiatives targeted landscape restoration. This output indicator
would benefit from reformulation and combining with other dissemination activities on the programme
level.
On a national level, learning networks on forest restoration are part of 45 percent of REDDES projects
in nine countries (Figure 3.22). (On other information sharing efforts see point O below).
Figure 3.22

Information sharing in REDDES projects

%
0

5

10

15

20

25

30

35

40

45

Learning network on restoration

Information on REDDES results

33

50
45

41

http://forestlandscaperestoration.ning.com/ (consulted October 20, 2014)45

K. PES incentive mechanisms assessed and established
Development of PES mechanisms has been part of 45 percent of REDDES projects in elevencountries while the MP target value is 3 countries. This demonstrates stronger demand for support inthis area than expected when the MP was elaborated.
Studies on PES mechanisms (the first step towards scheme development) were carried out in 17
percent of REDDES projects in five countries. Some of these studies also covered willingness to pay(WTP) for environmental services but, in view of very limited purchasing power of rural and urban
populations in ITTO producing countries, the studies had in general a broader view on thecompensation aspects, including opportunity cost assessment, among others. The MP target value
was three WTP studies which would be most relevant in ecotourism and recreation projects. (Figure
3.23)
Figure 3.23

PES mechanisms developed in REDDES projects

%
0

5

10

15

20

PES mechanisms developed

Studies on PES

25

30

35

40

45

50
45

17

L. Countries with improved capacity to implement SFM, forest restoration and rehabilitation.
Stakeholder training is covered by 69 percent of REDDES projects in 15 countries. Training outputs
are not systematically reported in all PCRs but compilation of the available information reveals that atleast 2,900 persons have participated in this kind of training. The MP target values were 300 forestry
stakeholders in 3 countries, 100 each, which have been clearly surpassed. However, in view of thewide variety in the size of country and differences in local conditions, it is unhelpful to apply the sametarget value for trained stakeholders in each country.
The MP also calls for development of national Criteria and Indicators (C&I) for SFM, forest restoration
and rehabilitation (3 countries, one per region). There has been no proposal in this area and therefore
no results can be reported apart from the work carried out under the regional ITTO/ATO project inAfrica.
On the other hand, ITTO’s C&I have been used extensively as a reference document in REDDES
projects in many countries. As the organization is likely to launch a new revision of its C&I in the near
future, it would be advisable for producing member countries to embark on this output after theprocess has been completed to ensure full compatibility ITTO’s and national C&I sets.
M. Demonstration areas established
Demonstration areas were established or are in the process in 59 percent of REDDES projects in 11
countries. Their size varies from a few hectares up to a couple of hundred hectares. The MP target
value was three demonstration projects. However, in practice demonstration areas were establishedby projects with a broader set of objectives (capacity building, community-level pilot schemes for PES
systems, etc.) and none of the projects referred to above was only about establishment ofdemonstration areas (cf. also section 3.2.7 on lessons learned on demonstration areas).
N. Operational practices for community involvement in development of environmental services

46

Communities were trained and assisted in development and implementation of PES mechanisms in 52
percent of the projects in ten countries (Figure 3.24). These activities were carried out also in projects
that supported community-level initiatives to identify opportunities for increased productive capacity offorests (see above output A). In this case the MP target value was communities in 3 countries trained.
Figure 3.24

Community involvement in PES development

0

10

20

%
30

40

50

Communities trained
Communities involved in PES

60
52

41

Communities were directly involved in the development of PES mechanisms in 41 percent of REDDES
projects in nine countries (MP target value 3 countries). In most cases communities were the main
project beneficiary with specific obligations related to the maintenance of forest cover and carrying out
restoration, reforestation and other conservation activities as part of PES schemes.
O. Stakeholder consultations/dialogues undertaken for awareness raising and to encourage
cooperation among interested parties
The MP identifies multi-stakeholder partnerships in 30 communities as means of verification ofparticipatory systematization of lessons learned which is the first output indicator in this area. Lacking
clear interpretation of the indicator, stakeholder consultations and dialogues were used as theindicator in this context. These activities were part of activities (or are in process) in 52 percent ofprojects in ten countries (Figure 3.25). The MP target value was 30 communities but it is difficult torelate these consultations and dialogues to only communities as systematization is normally carriedout on project or national level to be disseminated to all stakeholders within the country. This was also
the case in the completed REDDES projects.
Sub-national and national working groups with stakeholder participation (the second MP output) are34
elements in 24 percent of REDDES projects in 12 countries while the MP target value is three
countries. Furthermore, in a number of cases several thematic working groups were established in thesame project. These were often important during the diagnostic phase and were also instrumental in
improving project implementation and enhancing cooperation.
The MP also called for sensitization of forest dependent communities on adaptation options to climatechange in three countries. The review reveals that 38 percent of the projects had activities targeted
sensitization of forest communities on climate change. This kind of specific activity on adaptation has
not been carried in any of the REDDES projects so far (and its specific value can be questioned). In
practice, both mitigation and adaptation of climate change were covered in various REDDES
workshops and seminars. The issue of adaptation needs to be reconsidered in the MP to make it more
appropriate for monitoring of progress in this area that is important for practical implementation of
SFM.

34

Including the countries participated in the regional Amazon Basin project.

47

Figure 3.25

Stakeholder consultations/dialogues undertaken in REDDES projects

0

10

%
30

20

40

Systematization of lessons learned

60
52

National/sub-national working groups
Workshops

50

24
14

Communities sensitized on climate change

38

P. Information sharing mechanisms in place
Information on REDDES results are available on the ITTO thematic programme website and throughits Project search facility, all the documentation on completed and on-going REDDES projects can beeasily accessed. The website also includes other REDDES related documentation including thefollowing technical reports:
•
•
•
•
•
•

Governing the forests: an institutional analysis of REDD+ and community forest managementin Asia (UNU/ITTO) (2013)
Working together to get forest measurement right: a solution for REDD+ (2012)
Trans-boundary conservation and peace-building: Lessons from forest biodiversity
conservation projects (UNU/ITTO) (2011)
Tropical forest tenure assessment (RRA/ITTO) (2010)35
National forest landscape restoration guidelines
Technical guidance for the quantification of carbon benefits of ITTO projects (2013)

Several articles have been published in Tropical Forest Update issues on the topics of REDDES
programme including• 18/3 Climate Changing for Tropical Forest• 23/1 Paying our Dues – special issue on payment for environmental services• 23/3 Life after 50
An international seminar was organized in 2014 on PES and a policy brief has been prepared on its
results for wide dissemination (available through the ITTO website). The proceedings were underpreparation in writing of this report.
3.1.16 Conclusions
The REDDES Thematic Programme has significantly contributed to progress towards all its specificobjectives which appear relevant to country conditions. It is noted that these objectives are general by
nature and could be rather understood as programme goals or general objectives.
In particular, support to communities and payments for environmental services have been wellcovered. The review shows that most of the relevant outputs identified in the Monitoring Protocol are
well covered by the REDDES portfolio.
In the case of REDD+ related activities, the complementary role of REDDES support should be craftedwith an overall national action plan (Readiness Plan) as was e.g. the case in DRC. Alternatively, in
35

Developed under 2008-09 Biennial Work Program activity PPA43/225

48

countries which have not yet embarked on REDD+ preparation, REDDES can support elaboration ofsuch a plan to build up a coherent series of actions for capacity building as has happened in
36
Guatemala to kick-start the process and leverage financial support from other sources (cf. section
4.2).
The review of the technical papers produced by the REDDES projects revealed that the quality wasfrom satisfactory to good, but there are also several high-quality products (e.g., technical inputs to
MRV techniques, forest inventory and valuation reports, peer reviewed scientific papers). However,there were also some weaker outputs (lacking clarity on the methodology, descriptive with limited
analytical content). The quality depends on supervision and guidance from the project staff and thecompetence of consultants. External assistance could have been drawn on when adequate local
competence was not available.
The Project Completion Reports proved that stakeholder consultation was included almost in all the
projects with the exception of those that were purely technical by nature. Stakeholders have been
involved in project implementation through a variety of modalities, which suggests that in many cases
participation can be considered adequate. However, the available information does not allow
assessment of the adequacy of consultations. Due to the critical nature of stakeholder participation forsuccess of REDDES projects, it will be necessary to closely monitor this aspect and include it in future
ex-post evaluations to learn more from experience.
The logical framework of the Programme Document has apparently largely provided a relevant
framework for project work, but updating it could be desirable in view of recent developments in the
UNFCCC negotiations and other international initiatives (e.g., GPFLR). There is even more need forrevising the Monitoring Protocol to make it more applicable for setting targets and measuring progress.
In many indicators the MP target values have already been surpassed. There are also some gaps,
which is explained by the lack of project proposals in these areas. Strategically these are not,however, significant as most of them are covered elsewhere in the MP. In addition, it should be bornein mind that not all the REDDES outputs and activities as defined in the Programme Document andthe Monitoring Protocol are applicable in all the producing member countries. There is also scope for
reducing the number of indicators and eliminate unnecessary overlap.
There are two strategic issues which would merit rethinking in REDDES, not only with regard to theMP, but also how they should be addressed in the overall programme strategy, i.e. adaptation andlandscape restoration. It is also clear that in some cases proactive measures are needed to fill someother gaps (e.g., the development of national C&I for SFM implementation, including restoration andrehabilitation), which should be considered after the forthcoming revision of the ITTO C&I.
Forest restoration and rehabilitation are identified in the programme as tools for contributing toeconomic sustainability, which may not be optimal as the economic benefits tend to be reaped only inthe long run, not during short project periods. There could also be a case to apply broader landscapeapproaches in REDDES in which restoration and rehabilitation could be part.
In the case of social and economic sustainability, payment for environmental services is a valid tool.
However, there should be also a mention about productive activities in this context as demonstrated
by several REDDES projects.
By and large, the MP of REDDES is too detailed and several elements are overlapping whichsignificantly reduces its usefulness for guiding project proposal preparation and monitoring of progresson the programme level. In addition, some of the MP indicators need consolidation and simplification
to make them more measurable.
3.2

Lessons learned from REDDES

The completed REDDES projects and activities are diverse covering a broad range of interventions
both at international, regional, national and local levels. This synthesis is based on the projectcompletion reports and other documentation of REDDES projects listed in Annex 2.
36

RED-PPD 041/11 Rev.2 (F)49One of the main lessons learned is that SFM is an important option to reduce emissions fromdeforestation and forest degradation provided that a set of preconditions are met related to availabilityof information, institutional support and provision of incentives. There is a close relationship between
conservation and development; i.e. realizing sustained biodiversity conservation requires sustained
community development, particularly in terms of economic benefits.
Project strategies could benefit from three parallel interventions, i.e. strengthening the institutional andcommunity capacity, conservation and restoration of tropical forests for REDD+ and otherenvironmental services, and improvement of local livelihoods.
3.2.1

Payment for environmental services

One third of the REDDES projects have had objectives related to developing and implementing
payment systems for environmental services from tropical forests (cf. section 3.1.15). These projects
provide a range of valuable lessons learned for the design of future projects in this area. In general,the conclusions and recommendations of the ITTO/FAO International Forum on Payments for
37
Environmental Services of Tropical Forests held in San José, Costa Rica on 7-10 April 2014 remain
valid in the light of project lessons. There is, however, still a long way to go before compensating
tropical forest dwellers, owners and managers for the environmental services that their forests provide
can fully enhance livelihoods and improve the quality of management.
One of the key questions is creating recognized demand for environmental services which still remains
critical, as the capacity and willingness of beneficiaries to pay in most tropical countries remains
limited or non-existent. Creating awareness among beneficiaries is the first necessary step towards
developing compensation schemes but it is not sufficient. At the same time, community members needto understand the conservation concept and benefits they gain from it.
The accumulated experience shows that the government has to provide the necessary institutionalframework for most PES systems and often act as an intermediary to make actual compensation
schemes work in practice (Box 3.1).
3.2.2

Advancing REDD+ implementation through REDDESIn spite of the absence of regulatory international payment schemes for climate change mitigation,
there is a considerable interest among ITTO producing member countries in building up capacity for
REDD+ readiness. REDDES projects have contributed to piloting and demonstrating field-level
implementation, improved the information base on forest resources and built up capacity among all
stakeholders in REDD+ implementation in practice.

37

ITTO/FAO. 2014. Rewarding the service providers. A policy brief. Compensating tropical forest dwellers, owners and managers for the environmental services their forests provide will enhance livelihoods and improve management.

50

Box 3.1

PES scheme for natural production forests – example in China

The objectives of the PES scheme were to prevent the conversion of natural production forests to planted crop
trees and to improve the quality of natural production forests through their sustainable management. The scheme
was targeted at degraded and secondary production forests. The buyer of the environmental services was the
local government and the sellers were the owners of natural production forests, i.e., individuals (villagers) andcollective organizations (villager groups, village communities).
A standard annual compensation rate was applied (RMB 300/ha in 2012). A benefit sharing rule was established,i.e. 70% was to be paid to individuals (villagers) and 30% to the villager group if it was forest owner. In forests
owned by private individuals the whole amount was paid to her/him. The share of the village group was used forfinancing of regional economic development and improvement of the quality of natural production forests. Payments were subject to no change in ownership and no reduction in the forest area and the quality of natural production forest
The planning of the scheme relied on a review of the PES practices in non-commercial forests in China. Extensive
stakeholder consultations were carried out. Full understanding on the villagers’ perspective to the scheme was
and will continue to be necessary to ensure their participation also during implementation.
The compensation rate was established based on opportunity cost analysis. Therefore the rate needs to be adjusted locally when applying the scheme broadly in the country.
Source: RED-SPD 020/09 Rev 1(F) Project Completion Report

Tropical conservation and protection forests have a huge carbon stock that could be the basis forcarbon credits. A demonstration project in Indonesia showed that a simple carbon trade mechanism
practiced by a local community to plant trees on degraded land could reduce carbon emissions fromforests and provide a direct economic incentive while maintaining a level of long-term sustainabletimber and non-timber production (Box 3.2).
Only few projects have carried out cost-benefit estimation but the evidence suggests that paymentbased incentives will work only if the additional time, labor and monetary costs, as well as the cost offorgone benefits do not significantly exceed payments. If payments are based purely on carbon
increment rates and on the international market of carbon value, they would unlikely offset theincreased cost burden to communities.
3.2.3

Stakeholder participation

All the REDDES projects emphasize the importance of stakeholder participation in the development of
PES schemes. This has been frequently organized through workshops, consultative meetings, anddissemination of information through a variety of means.
Awareness raising and information on benefits arising from improved practices in the community isnecessary for which a cadre of local trainers and extension workers is required. In order to deploy
these agents to communities, a promotional information campaign may first be required throughmeetings with community groups to allow direct dialogue with farmers, community leaders, women’sgroups, and youth. The target is to make the local population to fully understand how theirenvironment-based livelihood activities depend on forests, be they protected or sustainably used.
Awareness has usually been successfully created but it can lead to excessive expectations on future
benefits. If there is not adequate follow-up action to put in place compensation schemes, themomentum can be lost and there is a risk of frustration among targeted communities. Managing
expectations is therefore important to make it clear that the process from awareness raising to scheme
design and implementation is usually time-consuming taking a number of steps.

51Box 3.2

Advancing REDD+ implementation in community forests in Indonesia

The best practices in advancing REDD+ implementation include (a) generating and providing necessary
information, (b) creating awareness among all stakeholders, (c) preparation of a national strategy for enhancing
and conserving forest carbon stocks through SFM, (d) proper planning with baseline data, (d) establishment ofinstitutional structures, (e) demonstration and dissemination, (f) regular monitoring and evaluation, and (g)supporting communities’ own ability to organize and manage their forests by addressing the livelihood concerns of
the poor and socially marginalized
A behavioral change can be brought about among the local people and their forestry practices such as morecautious harvesting of forest products and active participation in controlling forest fire or plantation
Seed grants have significantly increased local awareness about the value of forests. The incentive from REDD+
payments for carbon has been seen as a bonus over and above the many other forest goods and services people
gain from the forests. Financial incentives for increasing the stock of standing timber can result in improved forest
management and conservation. However, in order to comply with REDD+ requirements, communities have tomaintain bank accounts, keep records, organize and attend regular meetings, and monitor impacts which
altogether can imply considerable costs
A further key lesson of the demonstration project was the need to have appropriate social safeguards in place.
Maintaining social inclusion (ethnicity, gender and well-being) in benefit sharing is crucial for bringing a positive
behavioral change in local communities and enhancement of their sense of ownership and commitment to theprogramme
The project promoted effective participation of underprivileged communities, but strong inclusive stakeholder
engagement is a major challenge for national REDD+ initiatives to succeed given the conflicting interests ofvarious stakeholders and the social traditions that militate against the inclusion of the poor and underprivileged.
Source: RED-SPD 009/09 Rev.2 (F) Project Completion Report

A common understanding on the sustainable management of permanent forest estate is necessary.
This requires transparency and reconciliation of different priorities and trade-offs between
management objectives to be achieved through a step-wise process, building on increasing
understanding on the consequences of development options. In spite of a consultative process
involving all the stakeholder groups, this may not be achieved during the typically fairly short project
duration.
There are good chances for adoption of sustainable practices in resource use if the direct beneficiaries
of environmental services are members of the same community and it can be demonstrated that thebenefits of forest conservation, even though non-monetary, are important for the families.
Measures to engage indigenous peoples in stakeholder dialogues on REDDES issues are necessary.
ITTO’s projects can facilitate starting the dialogue between indigenous groups and government
agencies. This can lead to a continuous balanced relationship departing from the traditional top-down
approach in the public sector’s dealing with indigenous peoples.
The role of women in stakeholder consultations is essential and adequate measures should be taken
to ensure their effective participation. Women are faced with specific problems in community
development based on forests and environmental conservation but there are also several
opportunities for enhancing their contributions to these objectives (Box 3.3).

52

Box 3.3

Challenges facing women in reduction of deforestation and forest
degradation – Example of West and Central Africa

Based on data from spatial planning documents, village-level data and field information a multilayer mapping wasdeveloped. The criteria for the three main zoning categories are as follows:
1) Core conservation area criteria- National park and designated reserve areas2) Buffer Zone criteria- Villages directly connected to the national park
- Intact land cover- Water infiltration areas- Disaster prone areas- Protected areas defined in spatial planning3) Transition area criteria- Second level villages (impact area beyond directly connected village)- Rural residential area outside the buffer zone
- Disaster prone areas outside the buffer zone
Source: TFLET PD 019/10 Project Completion Report

3.2.4

Poverty and food security

The experience shows that if income generation among community members can be combined withthe objectives of reduction of deforestation and degradation, and maintenance of environmental
services, this improves prospects for sustainability. The implemented projects demonstrate that there
are many sources of income which can be tapped depending on local conditions such as collection,
processing and marketing of non-wood forest products, fuelwood production, small-scale logging andtimber processing, etc.
It has proved necessary to consider all sources of livelihoods when targeting poverty reduction, foodsecurity and income generation in local communities as these are often their most pressing priorities.
Forests cannot be considered in isolation from other land uses and therefore, need and potential forcrop production and animal husbandry have to be addressed within the limitations of available land.
3.2.5

Resource assessment

Stakeholder participation is also important in national level resource assessments to ensure a necessary holistic view from the very start of policy development process. The Guyana experience showedthat a joint approach of national resource assessment and community level involvement can be highly
useful for improving the accuracy and validity of the resource valuation process.
Forests under community and concession management should be considered separately because
their utilization pressures are different. In addition to communities, the targeted industry stakeholders
should be included in the participatory process.
Large areas are needed in resource assessment to generate nationally applicable results due to thediversity of natural tropical forests and their dynamics impacting not only production potential but also
ecosystem services. Identification of priority areas to focus assessment has proved to be useful.
Valuation of resources by state and community actors should be understood as a continuous iterative
process due to on-going changes in tropical forests. The valuation model developed in Guyana hassignificant potential for scaling up (Box 3.4). The generic model of forest area assessment could be
extended to other countries by adjusting input parameters for each individual case, as appropriate.
The training manuals developed by the project would allow the use of the model in other conditions
and could be scaled up as desired. The model is applicable for any size and type of tropical forest area and its results can be demonstrated for all stakeholder groups among ITTO producing member
countries.

53

Box 3.4

Key features of the tropical forest valuation model in Guyana

The country’s area was subdivided into 10,000 grids of 4km x 4km (1,600ha). The grid size may be varied infuture as more detailed information becomes available. A data base was established with the following data oneach grid:- spatial characteristics (forest area by type, non-forest area, distance along existing and proposed roads, rivers, existing road density, closest exit points, area of concessions within each grid (small and large separately);- physical characteristics (average distance from exit points to users, required road density, feeder road density, length of arterial and feeder roads and skidder trails to construct, number of bridges to construct, combination of transport modes, average unit harvest volume); and- financial indicators (unit costs for construction of roads, bridges, and log yards, production costs by type ofactivity, weighted average log price, unit net stumpage revenue),- A spatial data model was developed to calculate transportation and vegetation type spatial variables for eachgrid unit as input to the forestry model. Key spatial layers used in the model included terrain data, vegetation,
roads, rivers, location of state forests, sawmills and proposed road infrastructure. Spatial model allowed for
creating locational relationships between land tenure, infrastructure, and physical components.
In the physical characteristics model the average unit harvest volume was estimated based on the data on concession level inventories by vegetation class and species group.
A cost-net revenue model was developed based on the financial indicators combined with the spatial and physical characteristics of each grid. The results were calculated for each grid as net stumpage revenue reported also
as maps indicating grids/zones with positive and negative net revenues.
The model allowed elaboration of valuation estimates for each grid and any combination corresponding to desired sub-regions.
The model grid size and choice of data input variables are flexible and therefore adaptable to any local conditions.
Source: Guyana Forestry Commission. 2010. REDDES Monitoring – Guyana’s National Forest Estate Model. ITTO RED-PD
005-09 Rev. 2(F)3.2.6

Implementing the landscape approach – zoning

With the increasing recognition of the importance of a landscape approach, REDDES efforts frequently need to consider broader geographic units than a community or a forest management unit. An adequate framework zoning is usually necessary for which a set of criteria is needed. Zoning should go
beyond traditional land-use classifications, particularly in the vicinity of protected areas. For each category of forest and non-forest land, management objectives and guidelines are needed to achieve
SFM and maintenance of environmental services. An example of such categories is given in Box 3.5
based on Indonesian example covering a biosphere reserve.
As frequently large areas need to be covered by conservation efforts, pilot projects can be useful totest development models for wider application. Development activities can cover a broad range including NTFPs, ecotourism, crafts, renewable energy, organic farming, etc.
Box 3.5

Example of forest and non-forest land categories for zoning in Indonesia

Based on data from spatial planning documents, village-level data and field information a multilayer mapping
was developed. The criteria for the three main zoning categories are as follows:
1. Core conservation area criteria- National park and designated reserve areas
2. Buffer-zone criteria- Villages directly connected to the national park
- Intact land cover- Water infiltration areas- Disaster prone areas- Protected areas defined in spatial planning
3. Transition area criteria- Second level villages (impact area beyond directly connected villages)- Rural residential areas outside the buffer zone
- Disaster-prone areas outside the buffer zone
Source: TFLET PD 019/10 Project Completion Report543.2.7

Value of demonstration

Out of the total of 29 REDDES projects reviewed, fourteen contained an element of field level
demonstration for disseminating successful practices. Demonstration is particularly important for
adoption of improved rehabilitation/restoration technology. Demonstration plots should be large
enough (several dozens of hectares) to represent different characteristics/physical conditions in orderto achieve the desired impact.
The underlying theory of change on demonstration is correct, as the ultimate target groups for
implementation of improved practices are forest communities, managers and landowners. However,establishing good examples in selected locations is not enough and therefore all such projects should
include a strategy for how the demonstration sites established will be used for sharing lessons
learned. Without necessary follow-up action to share experience, the investment in demonstrationsites risks to remain a shot in the air.
There should be validation of the improved practices and provision of resources for bringing selected
target groups to see in their own eyes how improved management is implemented in practice.
Sometimes it is also important to demonstrate failures to avoid the same mistakes being repeatedelsewhere.
The objectives of community level demonstration projects can include carbon sequestration,
improvement of livelihoods and strengthening of institutional and technical capacity. It is apparent thatgeneration of socio-economic benefits is crucial for achieving sustainable impacts on climate change
mitigation and cannot therefore be considered secondary outcomes. The experience suggests thatawareness raising among local forest communities can make members interested in implementing
REDD+, if they can continue to use forest to meet their own needs.
Sustainability of demonstration areas on restoration and rehabilitation requires special attention. Theirfull value for sharing experience usually is materialized beyond the duration of short-term projects of
up to two to three years. Therefore, it is crucial that project partners and other stakeholders are fullycommitted to ensure the maintenance of demonstration areas. (INO 009) A specific organizationalarrangement with clearly defined responsibilities may be required to undertake necessary post-project
activities to ensure maintenance of demonstration areas, and access to them by interested parties.
3.2.8

Private sector participation

When lands managed by private companies contain significant degraded areas, it is relatively easy toengage them in restoration projects when practical results can be demonstrated with appropriatetechnologies. Their interest of the private sector is driven by the desire to show that the company iscontributing to environmental conservation and long-term sustainable production of timber.
Considerably larger areas can be covered by private sector restoration efforts than in community-levelprojects. Parallel activities by the two parties can be successful but technology has to be adapted totheir needs and possibilities. For instance, agroforestry is often appropriate for community managed
areas while large-scale replanting for restoration can be feasible for private enterprises.
3.2.9

GovernanceImproved governance and law enforcement is particularly needed in the vicinity of protected and otherdesignated forest areas to prevent encroachment, illegal logging and poaching. At the same timecommunity members need to understand the conservation concept and benefits they gain from it. If
local people value the conservation outcomes supported by law enforcement, they will assist in
avoiding law violations and cooperating with local enforcement agencies to prevent or uncoverviolations.
3.2.10 Training
Most REDDES projects include significant training components. A broad range of training materials
and packages has been produced tailored to local conditions and specific target groups in different55languages. All the stakeholder groups have been covered by training which is usually designed basedon needs assessment.
REDD+ initiatives in some producing member countries (e.g., DRC) have created a large unsatisfied
demand among all stakeholders in participating for training in readiness activities (including MRV).
This is particularly the case among local communities that will be granted forest conservation
concessions and are therefore waiting for receiving payments that they can verify themselves. In suchcases forest communities should receive training for measurement of carbon stocks to motivate theirconservation efforts.
Technical training of forest inventory teams is not useful if there is no certainty about the availability offunding to immediately apply the acquired knowledge. This is particularly the case when several
donors have shared a larger programme such as support to a national forest inventory and one ofthem fails to mobilize funding for the part they were committed to.
3.2.11 Dissemination of results
Almost all the REDDES projects include provisions for dissemination of the results as required by the
ITTO Project Formulation Manual. Typical activities are organization of a project completion workshop,
production and distribution of leaflets, establishment of a project website for posting of newsletters,
production of technical guidelines and reports, posters, video presentations and other material.
However, these measures may not be sufficient to fully capitalize the project’s investment in public
goods with potential for knowledge sharing both in-country, regionally and internationally. A more
systematic dissemination approach would individually address all the relevant target groups andrespective measures for their active engagement in applying improved practices.
Some projects with research components have also produced scientific reports or articles published inpeer reviewed magazines. This practice should be included in all projects with significant researchcomponents to capitalize ITTO’s investment in generation of such pubic goods.
The results of projects that are broadly applicable and replicable or experimenting successful
innovations should be validated and effectively brought up to the attention of decision makers (cf.
sections 3.1.12 and 3.1.13). In the present project practice ITTO’s main instruments for this purpose
are ex-post evaluation of completed projects and sharing experiences in international or regional
workshops. Both have important potential role for validating and sharing the knowledge but they are38
not sufficient to make full use of the investment made.
3.2.12 Mainstreaming the results through policy development
Several completed REDDES projects have targeted policy development and improved
implementation, or have potential for this. Mainstreaming the lessons learned needs effective
feedback from field-level experience to policy development, which is often lacking in project designs.
Examples of relevant instruments that could be used include revision of the national or sub-national
regulation (e.g. in case of strengthening forest tenure, legal compliance, community rights),
adjustment of the administrative framework, provision of incentives, establishment of compensation
schemes for environmental services, etc.
Often such policy changes need national level action by the administration but in some cases,
particularly in larger countries, decisions can also be made on subnational or local level. In any casethe adjustment process tends to be time-consuming as different interests need to be reconciled andthe necessary political has to be created. This tends to be beyond the scope of individual, often
39
relatively small projects which are typical in ITTO’s support. Therefore, specific measures should be
included in the project work plan for this purpose in order to leverage impacts through policy
development and harnessing synergies with other initiatives in the country targeted at similar
objectives (e.g., REDD+, landscape restoration).
38
39

Fullan & Tomaselli (ibid); ITTO (2012a)
It needs to be however noted that sometimes even a small successful project can lead to rapid action with significant positive impacts on a national level (ITTO. 2012a)

56

3.2.13 Ensuring sustainability
The involvement of relevant parties and committed project personnel are critical factors during project
implementation for building up the basis for sustainability. Measures to ensure post-project action
should be explicitly identified in the project proposals and implemented before completion.
Achieving effective awareness on the conservation and restoration among all relevant stakeholders is
also necessary. This can be achieved by careful selection of project participants (communities, private
enterprises and their representatives), involvement of the relevant institutions, and proper identificationof demonstration sites, in view of local conditions and access.
3.2.14 Project management and organization
About a third of the projects reviewed were implemented by government agencies and another 28
percent by knowledge institutions (universities and research agencies) (cf. section 2.2.7). This hasoften allowed more holistic approaches than would have been the case in individual field levelinterventions implemented by other stakeholders.
In projects with multiple stakeholder groups involved in coordination and implementation, it is critical toclearly establish roles and responsibilities for each group to avoid confusion and inefficiency. In the
Guyana resource assessment project the lead role of the forest administration in project
implementation was made clear from the outset similarly to communities’ role in implementation of
SFM on the ground.
In spite of earlier identification of partners’ interest and achieving their commitment in the project
during the planning phase, it can happen that they do not actually participate in the implementation.
This can seriously limit the use of their knowledge, experience and logistical support on which the
project’s success may decisively depend. Partnership arrangements should be clarified and, if
necessary, formalized latest ideally during the project planning but at the latest in the inception phase.
If REDDES projects are executed by non-governmental organizations, it is important to ensure
effective participation of government agencies to ensure take-up of the project results. This isparticularly problematic in projects addressing governance issues.
External Executing Agencies that do not have permanent presence in the host country can have
limitations to coordinate activities and to follow up on the ground with national stakeholders. This isparticularly important in training projects that apply the train-trainers approach to establish networks ofexperts for future use. The training events should be timed so that adequate preparatory work has
been first carried out to define training needs and that sufficient notice time is given to participants toenable scheduling of their participation.
Small project teams appear to result in effective and efficient implementation but adequate measures
are needed for ensuring the full involvement on relevant institutions and other stakeholders. It is also
necessary to have clear definition of role and responsibilities of the project staff and partners.
3.2.15 Monitoring
Monthly or other periodic meetings to report on project progress to the EA management are useful for
addressing emerging problems which require quick action, in addition to PSC meetings which occur
less frequently.
Monitoring can identify activities that were not planned but are improving the project’s impacts andsustainability. Implementation of such additional activities should be encouraged if extra funding can
be raised from other sources, when needed.
In general, progress reports have proved to be instrumental for effective project management. The
present ITTO practice in managing project implementation (including the On-line Monitoring System)
was appreciated by almost all Executing Agencies. The importance of regular proactive oversight by
ITTO is another positive lesson from the completed REDDES projects.

57

In project implementation there should be flexibility to adjust timing of the planned activities to take into
account parallel, related initiatives and possibilities for effective participation of partners and otherstakeholders.
3.2.16 Risk management
Risk analysis has often been superficial and sometimes even lacking in the project design stage
notwithstanding that there have also been some good examples of risk assessment.

40

The most typical risks identified in the completion stage were delays in processing project agreements
due to administrative constraints in public sector EAs, procurement of machinery and equipment, andstaff changes in project management. The lessons learned indicate that diligence in these aspects canbe improved by proper planning and through proactive measures taken by the parties involved. The
role of Project Steering Committee is important in this respect but as meetings are rarely held,
members should be closely engaged in the implementation when their support becomes necessary for
efficient problem solving.
4.

PROGRAMMATIC LINKAGES AND COMPLEMENTARITIES

4.1

Programmatic linkages

4.1.1

TFLET and REDDESTFLET and REDDES have clearly differentiated profiles and specific objectives. However, bothprogrammes share the common objective to improve the wellbeing of local communities throughsustainable management of their forest resources. Good governance is fundamental to provide
enabling conditions and promotion of SFM and it is a strategic element in both TFLET and REDDES.
Forest tenure and use rights are also a common issue to both programmes. Legal and sustainable
origin of products produced and traded in TFLET has to come from areas that must have establishedtenure rights. In REDDES it is necessary to define the rights to carbon and other environmental
services which are part of its necessary legal framework.
Building an adequate governance structure is fundamental for success in TFLET and REDDES. If thecountry has capacity to coordinate and collaborate with different governmental and non-governmental
bodies, it can fight corruption, enforce national laws and deliver transparent data on the forestry andother related sectors.
Both thematic programmes are focused on forest dependent communities as their ultimate target
group and capacity building is a common strategic intervention area, even though having a different
scope. Community level REDDES projects have shown that successful conservation is possible ifadequate economic benefits can be generated for local communities (cf. section 3.2). Sustainableproduction of timber and non-timber forest products is therefore a common underlying element for the41
two TPs. This linkage is well demonstrated e.g., in a project in Indonesia focusing on conservation ofa biological reserve which was funded under TFLET but its financing could have been even morejustified under REDDES but there were no financial resources to do it.
These linkages offer opportunities for harnessing synergies when both programmes provide support tothe same country and target groups. In order to achieve such synergies, there should be coordinationin the project design stage within the country. Cooperation should be established during
implementation including effective monitoring by Project Steering Committees. Projects targeted atstrengthening of governance and law compliance could be implemented under any one of the two
programmes. Tenure and other rights issues related to production and trade of timber and NTFPs, andenvironmental services need due consideration in both programmes.

40
41

Nine out of the total 29 projects reviewed did not have any risk analysis in the project proposal.
TFL-PD 019/10 Rev.2 (M) Developing collaborative management in the Cibodas Biosphere Reserve, West Java, Indonesia

584.1.2

Linkages with other Thematic Programmes

TFLET and the Trade and Market Transparency (TMT) Thematic Programme are mutually supportiveas their profiles are complementary. They share similar objectives in improving market transparency
and increasing production and trade. TFLET adds value to TMT through building up capacity indemonstrating that production and trade is based on legal and sustainable sources and that this canbe verified. TMT complements TFLET in building up capacity in marketing of tropical timber and timber
products among SMEs to realize the benefits from legal compliance and implementation of SFM.
TMT also focuses on strengthening of market information systems, improvement of market
transparency, and facilitating access to legally and sustainably produced tropical timber. All these
activities are essential for the success in TFLET implementation. TMT can therefore harness strong
synergies with TFLET and other related international programmes and initiatives. ITTO has a uniquecompetence among international organizations in trade and market transparency. Complementarity isalso demonstrated by the fact that four out of the nine TMT projects could have also been financed by
42
TFLET.
The general objective of the Community Forest Management and Enterprises (CFME) TP are also
closely linked with TFLET’s specific objectives. There is a strong element of complementarity as bothprogrammes focus on community level capacity building, CFME in SFM and adding value to the forest
resource and TFLET in demonstrating that communities can implement and demonstrate that timber
produced comes from legal sources contributing to sustainable livelihoods. A number of TFLET
43
projects could have been also financed by CFME.
Together with TMT, TFLET has also a close linkage with the ITTO/CITES Programme as its work on
strengthening law compliance and improved market transparency provides direct contributions to
implementation of trade regulation in endangered and threatened tropical timber species.
REDDES has close linkages with the Community Forest Management and Enterprise TP. Both sharethe same general objective to contribute to the social and economic well-being of forest-dependentcommunities even though their tools are different, i.e., REDDES through restoration and rehabilitationof degraded forests and payments for environmental services, and CFME through SFM and promoting
added value production by communities. Complementarity also derives from the fact that conservation
efforts have best chances to succeed if they can result in net economic benefits for local communities
and indigenous groups (cf. section 3.2).
4.1.3

Linkages with regular cycle projects and Biennial Work Programmes

A review of regular cycle projects approved since 2008 showed that a large number of them directly
contribute to REDDES and TFLET objectives and could have been funded through these thematic
programmes had there been funds available. Several BWP activities could also have been funded by
the two TPs. These projects and activities are listed in Annex 7 and summarized in Table 4.1.

42
43

TMT-SPD 011/12 , TMT-SPD 012/12, TMT-SPD 013/12, and TMT-SPD 014/13
TFL-PD 014/09 Rev.1 (M), TFL-PD 019/10 Rev. 2 (M), TFL-SPD 029/12, TFL-SPD 030/12 Rev. 1 (M), TFL-SPD 032/13
Rev 2 (M), TFL-SPD 033/13 Rev 2 (M), TFL-SPD 038/13 Rev 2 (M)59

Table 4.1

Programme
REDDES- Financed- PendingSub-total
TFLET- Financed- PendingSub-total
Grand total

Regular cycle projects and BWP activities with linkage with REDDES and
TFLET
Number of preprojects and projects

Number of BWP
activities

Funding
USD 1,000

64
20
84

19
2
21

35,304
11,16946,473

22
3
25
109

6
6
27

15,007
5,929
20,936
57,409Source: Annex 7

The review was based on the objectives of pre-projects and projects and it cannot therefore beconsidered accurate. However, it shows that the objectives of the two TPs are being substantiallycontributed by regular cycle projects and, to a lesser extent, by BWP activities. In the case of TFLETrelated pre-projects/projects, the regular cycle has contributed to 1.7 times more funding than the TP
itself. In the case of REDDES the linkage pre-projects/projects under the regular cycle received a total
funding of USD 35.3 million or 3.7 times more than the TP itself. Therefore, the assessment of thisstocktaking provides only a partial view on ITTO’s contributions to the TP objectives. The conclusion is
also likely to be valid for the other TPs even though they were not included in the above analysis.
The finding has a number of implications from the viewpoint of project proponents and donors.
Proponents have to carefully assess which window (regular project cycle or one of the TPs) they apply
for when presenting project proposals. In the case of TPs, the key constraint has been availability offinancing which has resulted in submitting “TP-qualified” proposals to the regular project cycle which
has much more substantial resources. They are then competing with all the other proposals without
any priority assigned to these “TP-qualified” proposals in spite of addressing the agreed thematic
priorities of the organization.
Another example of possible impacts is the pre-project TFL-PPD 023/10 Rev. 1(F) for development
and implementation of a species identification and timber tracking system in Africa with DNA
fingerprinting and stable isotopes which dealt with a strategic priority innovation for TFLET and
ITTO/CITES programmes. The pre-project was successful and led to the formulation of a large followup project but, as there were not adequate funds available in TFLET, it was presented and financed
through the regular project cycle.
Donors cannot earmark their funding within TPs, which has apparently negatively influenced theirinterest in using this instrument. However, TPs were introduced upon donor initiatives to have a morestrategic approach to the organization’s project work. It appears that many donors have continued toprefer being able to hand-pick projects rather than leaving the decision to the procedures established
for the TPs.
This is also demonstrated by the fact that some donors have indicated their wish to assign their TP
funding for a specific sub-theme and/or region (e.g., the Australian funds to TFLET for the Asia-Pacificregion, TMT-CITES funds for TFLET projects that also have to be CITES relevant).
The situation appears a paradox and undermines a proper assessment of thematic programmes as
instruments to pursue their agreed objectives. Relevant project work implemented under the regularproject cycle and relevant activities funded under the BWP should also be included in the analysis toobtain a comprehensive picture (cf. also section 5.5).

60

4.2

Complementarities with other international programmes

4.2.1

TFLET

Several international, regional and bilateral initiatives have objectives related to strengthening of forest
governance and law enforcement either as the main focus area or part of their objectives. The WorldBank’s Forest Law Enforcement and Governance Programme (FLEG) used to work in this area underregional initiatives but it was discontinued a couple of years ago. Its work was transferred to the Bankmanaged Program on Forests (PROFOR) which has continued to carry out work for generating new44
knowledge and innovations in law enforcement. Forest governance is also increasingly addressedas part of various REDD+ programmes and projects (cf. section 3.1.2).
However, only the EU-FAO FLEGT Programme implemented by FAO appears to be currently
comparable to ITTO’s TFLET Thematic Programme in terms of its scope and geographic coverageand it is therefore analyzed below in some detail (Annex 8). Both programmes have evolved overphases since 2007/2008. The EU support initiative originally covered only the ACP countries but has
been expanded to cover all the developing countries and will start its next phase in 2015 extending up
to 2020. The following analysis is mainly based on the Programme Document for the period from 2011
to 2013 and the evaluations carried out.
Objectives
Both programmes share poverty reduction as part of their general objectives. TFLET relies onenhancement and diversification of international trade in tropical timber from sustainably managed
sources as the main factor while EU-FAO FLEGT focuses on improving forest governance for poverty
45
reduction.
Differences in the general objectives are also reflected in different specific objectives. TFLET istargeted at strengthening forest law compliance and governance, improved transparency and effective
management of supply chains, improved capacity of forest communities and SMEs, and international
cooperation.
EU-FAO FLEGT is targeted at improved policy and legal frameworks, capacity building of civil society
and forestry staff to manage forest resource, and stakeholder collaboration in enforcement. A special
focus area of the programme is making forest sector stakeholders to understand the EU FLEGT principles and concepts (as expressed in the EU-FLEGT Action Plan and its Voluntary Partnership
Agreements). There is a considerable degree of overlap but also an element of complementarity between the specific objectives of the two programmes.
Thematic focus
The thematic focus of the two programmes is somewhat different. According to the programme documents, TFLET ‘s focus areas are law compliance and governance, supply chains, communities andSMEs, and international cooperation while those of the EU-FAO programme are national FLEGT
strategies, policy and legal frameworks, independent monitoring, domestic markets, and stakeholder
support. In practice, portfolio reviews reveal that both programmes have given a high priority to community-based capacity building, transparency of the supply chains and markets, as well as informationand communication. TFLET has had a stronger focus on developing tracking systems while support toVPA processes has been a focal area in EU-FAO FLEGT (particularly development of legality definitions and timber legality assurance systems).
Geographic scope
ITTO’s TFLET supports its 33 producing member countries but also selected initiatives in consuming
member countries. The scope of EU-FAO programme presently covers all the developing countries
but there has been an emphasis on the countries which have participated/are participating in the Voluntary Partnership Agreement (VPA) process.
44

45

See www.profor.info for details
The link has not however been clearly articulated.

61

The 19 funded national projects of TFLET and its pre-cursor have been implemented or are in the process in nine countries and the 90 completed projects of EU-FAO FLEGT in 22 countries (Annex 9).
Only four countries (Cameroon, Ghana, Indonesia and PNG) have received support from both programmes, which indicates complementarity between the two programmes.
Modus operandi
TFLET is implemented through calls for proposals that are open for stakeholders in all the ITTO member countries. In addition, activities identified under the Organization’s Biennial Work Programmes
have been funded through TFLET. EU-FAO FLEGT also applies calls for proposals by governments,
CSOs and the private sector but, in addition, also provides direct assistance to governments.
Projects funded by EU-FAO FLEGT are smaller (up to USD 50,000 for stakeholders and up to USD
100,000 for pilot projects with a duration of one year). TFLET projects have been up to USD 600,000
but typically USD 200,000 to USD 500,000 with a duration of maximum 3 to 4 years. Pre-projects canbe up to USD 100,000 and small projects up to USD 150,000. Many TFLET projects go beyond developing new approaches and creating awareness among stakeholders involving practical implementation (enterprise level audits, electronic tracking systems, etc.), as well as phased training of communities, the private sector and government agency staff. These differences in project duration and size
are important for the impacts and sustainability of projects supported by the two programmes.
In the case of TFLET, proposal clearance is made by country focal points to ensure compatibility withnational policies and complementarity with parallel activities, which can be considered a strength.
Such a clearance is not included in EU-FAO FLEGT requirements for proposals.
Proposals to TFLET are reviewed by the ITTO Secretariat and the Thematic Programme Advisory
Committee (composed of member country experts) based on which the Executive Director makes thefinancing decision. In EU-FAO FLEGT the review of proposals is carried out by the Project Management Unit which also decides on the selection of projects for funding to be endorsed by the Steering
Committee.
Funding and donors
The three TFLET phases (pre-cursor, pilot phase and Strategic Action Plan) have received a total
funding of USD 9.1 million coming from the Netherlands, Australia, Japan and nine other donors (in46cluding one private sector body). For Phase II of EU-FAO FLEGT about USD 13.8 million (EUR 11
million) was received from the European Union being the sole donor of the programme and FAO investing another USD 2.0 million from its own programmes and projects.
Linkages between TFLET and EU-FAO FLEGTIn the initial phases there were discussions on possible coordination and cooperation between the two
programmes. Due to the principal modus operandi (call for proposals), it was difficult to find an operational solution for how possible synergies could have been capitalized. In spite of some cooperative
efforts in strengthening forest governance by ITTO and FAO in elaboration of guidance documents on47
law compliance and organizing a joint workshop on timber tracking , the EU-FAO FLEGT Programme
48
Document does not even mention ITTO working in the same field. However, the document calls forincreased opportunity for global exchange on FLEGT (with EFI-FLEGT, IDL and other organizations)for mutual learning (without identifying ITTO as a potential partner).
EU is funding another programme on support to the implementation of EU FLEGT Action Plan (EUFLEGT Facility) which is implemented by the European Forest Institute (EFI). Its objective is to provide
technical assistance to governments and other stakeholder groups in timber exporting countries tosupport the negotiation and implementation of VPAs. The Facility facilitates information sharing, capacity building and collaboration on FLEGT. The EU FLEGT Facility is funded by the EU, the govern-

46
47
48

Cf. section 5.5
Log movement and timber tracking technology regional workshop. 13-18 May 2012. Malaysia.
The list of partners included EU Delegations, EFI FLEGT Facility, PROFOR, EC funded projects, FAO projects, NFP Facility
and FAO Legal Office.

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49

ments of Finland, France, Germany, the Netherlands, Spain and the UK. Due to the strong focus onits support to VPA negotiation processes the EU FLEGT Facility was not included in the above analysis in spite of the fact that it has synergies with TFLET in the area of information sharing and capacity
building.
Lessons learned from the EU-FAO FLEGT Programme
There is an on-going evaluation on Phase II of the EU-FLEGT and the following selected lessons thatare relevant for TFLET have been extracted from the Mid-term evaluation in 2011 and the final pro50
gramme report on activities in 2008-2013.
•
•

•

•

•
•
•

Improving forest governance and transition from business as usual meets resistance requiring
more significant and lasting support than may be achieved through short-term interventions.
In relative terms few requests have been received for strengthening of governance and law
enforcement (which is also a lacuna in TFLET). This may be due to the reluctance of governments to include stakeholders in decision-making on governance and the fact that corruption
is a sensitive topic.
Limited resources and business models of the private sector represent a difficulty for its participation in governance improvement. Measures to overcome this constraint are not easy toidentify. Private sector needs targeted support to address their identified problems, possibly
including specific workshops.
The informal (and largely illegal) sector should be supported to make the transition to formal
and legal wood production, processing and trading activities. Technical and management capacity building can help, particularly if supported by micro- and meso-credit operations (fundedfrom other programmes).
Positive impacts have been observed especially in countries where there have been at least
three projects, suggesting that a critical mass of support in a country is probably needed toachieve the targeted change.
There is a need to increase coordination and strategic planning at the country level.
There are several other lessons that are shared by both programmes in a way or another suggesting possible strong synergies (cf. section 2.2).

Conclusions
The planning for Phase III of the EU-FAO FLEGT Programme was under preparation during the writing of this report. Changes in the approach may include targeting key countries with stronger support,
possibly within a country programme. EU-FAO FLEGT has a strong focus to support the FLEGT Action Plan with supply side approaches with less attention given to demand creation (which is being
targeted by TFLET and TMT, among others). The work has had a focus on VPA countries but is increasing in non-VPA countries.
The Programme’s gap areas are governance/ institutions and law enforcement as for these areas few
requests have been received. TFLET has apparently been more successful in covering strengtheningof law compliance and enforcement than EU-FAO FLEGT. There are apparent synergies between thetwo programmes which are not presently harnessed and should be jointly explored by FAO and ITTO,
in consultation with the EU.
4.2.2

REDDES

Since the Bali Action Plan of the UNFCCC (2007), there has been a growing interest by theinternational financing community both in the public and private sector in building up REDD+ capacity.
ITTO’s REDDES thematic programme is one of these initiatives even though its scope is broader
covering all the environmental services. Notwithstanding the plethora of REDD+ targeted bilateral andNGO-based initiatives, there are two international programmes that are of interest for a comparative
analysis with regard to REDDES, i.e. the UN-REDD Programme and the Readiness Fund of the49
50

www.euflegt.efi.int
Egger & Topper (2011); EU-ACP FLEGT (2013)63Forest Carbon Partnership Fund of the World Bank’s Carbon Finance Unit. All the three were started
in 2008.
The UN-REDD Programme is the United Nations Collaborative Initiative on Reducing Emissions from
Deforestation and Forest Degradation (REDD+) in developing countries. The Programme waslaunched in September 2008 to assist developing countries to build capacity to reduce emissions andparticipate in a future REDD+ mechanism. The Programme is supporting governments to prepare
national REDD+ strategies, build monitoring systems, engage stakeholders and assess multiple
benefits.
The Forest Carbon Partnership Facility (FCPF) is a global partnership focused on reducing emissions
from deforestation and forest degradation as well as conservation and enhancement of forest carbon
stocks, as well as sustainable management of forests. FCPF has created a framework and processes
for REDD+ readiness, which is aimed at helping countries prepare themselves for future systems of
REDD+ financial incentives. Using this framework, each participating country can develop reference
scenarios and a national REDD+ strategy, design forest carbon monitoring systems, and set up
REDD+ national management arrangements in ways that are inclusive of the key national
stakeholders.
The comparison of the three international programmes is presented in Annex 8 and summarized below focusing on UN-REDD. Together with annual reports, the analysis on UN-REDD is based on the
Framework Document and Programme Strategy 2011-2015. The analysis on FCPF is based on the
IBRD Charter of establishing the FCPF as well as the Facility’s annual reports.
Objectives
Reducing deforestation and forest degradation and enhancement of forest carbon stocks are common
general objectives for the three programmes identifying sustainable management of forests as a goal
or a key tool toward their achievement. REDDES has the broadest approach in its specific objectives
covering all the environmental services as well as social and economic sustainability and resilience oftropical forests. FCPF is also targeting sustaining or enhancing livelihoods of local communities, andconservation of biodiversity. These are implied in the work of UN-REDD that also includes transformation of land use in its objectives.
Thematic focus
Thematically, REDDES focuses on expansion of sustainably managed areas, including restoration of
degraded secondary forests, and rehabilitation of degraded forest lands (i.e. practical implementationby communities, the private sector and other stakeholders) through assessment and diagnosis; enabling conditions and capacity building; demonstration activities, and scaling up and dissemination.
The focus areas of UN-REDD include scoping and alliance building, data management, monitoring
and assessment, stakeholder dialogue, elaboration of national REDD strategy, payment structuring,accounting methods and verification of reduced emissions, guidelines, various methodologies andother tools, capacity building, and knowledge management.
FCPF’s readiness activities focus on building in-country capacity, establishing cross-sectorial platforms and intersectorial coordination, policy development, fostering partnerships, promoting sustainable landscapes, stimulating non-carbon benefits and generating global standards and knowledge.
There is a considerable overlap between UN-REDD and FCPF which has resulted in joint efforts internationally and harmonized procedures on a national level.
Geographic scope
UN-REDD and FCPF are open for support to all developing countries while REDDES is confined tosupport to ITTO’s member countries. Fourteen ITTO producing member countries have received support either from UN-REDD or FCPF.

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51

The 29 funded national projects of REDDES have been implemented in 16 countries. UN-REDD has
supported 12 countries and FCPF 11 countries (Annex 9). Fourteen REDDES countries have received
support from either UN-REDD or FCPF and three of them (Cameroon, Ghana and Indonesia) fromboth programmes.
Modus operandi
Together with the other TPs, REDDES is mainly implemented through calls. It was also envisaged thata pilot country approach could be applied to selected countries enabling interested ITTO members to
submit their candidature for a programmatic country support involving all the four strategic intervention
areas of the Programme.
UN-REDD provides support to national action to facilitate and broker national processes. Actions aredesigned as joint programmes with (partner) countries to harmonize with other REDD in-country initiatives. UN-REDD provides direct support to the design and implementation of national programmes
and complementary global and regional-level activities.
The FCPF Readiness Fund has a clearly structured phased process up to achieving payments for reduced emission from the FCPF Carbon Fund. These phases include preparation of (i) a Proposal Idea
Note and (ii) a Readiness Preparation Proposal consisting of REDD+ strategies and policies, reference emission levels, MRV systems, and institutional capacity, together with social and environmental
safeguards.
The size of REDDES projects have been up to USD 1.2 million but the range is typically USD 200,000
to 500,000 with duration of maximum 3 to 4 years. Pre-projects can be up to USD 100,000 and small
projects up to 150,000. The UN-REDD programme funding in partner countries has ranged from USD
0.5 million to USD 6.4 million. FCPF provides USD 200,000 for the formulation of the Readiness Preparation Proposal and USD 3.6 to 3.8 million to assist in the preparation of a Readiness Package.
REDDES requires clearance by ITTO Country Focal Points for proposals to be presented and a designated Executing Agency is appointed for project implementation. For UN-REDD the host government identifies the actions to be supported and establishment of a National Steering Committee is encouraged. In the case of FCPF a national REDD Coordination Unit serves as the focal point.
REDDES proposals are reviewed by the ITTO Secretariat and Thematic Programme Advisory Committee (composed of member country experts) based on which the Executive Director makes the financing decision. In UN-REDD the Technical Secretariat manages national programme review process and the Policy Board makes the financing decisions. In the case of FCPF an Ad Hoc TechnicalPanel and the Facility Management Team carry out the proposal review process. The ParticipantsCommittee selects eligible REDD countries and decides on grant allocation for preparation of theReadiness Package. The more complex governance structures of UN-REDD and FCPF than in
REDDES have been perceived necessary to establish and maintain trust between partner agencies
and diverse constituencies but they probably tend to increase transaction costs and result in delays in52
implementation and administrative redundancies.
Funding and donors
REDDES has received USD 9.5 million from donors to implement 29 projects and practically all thefunds have been allocated. In the present situation (February 2015) no calls for proposals can belaunched due to lack of funds.
The financial resources of UN-REDD were USD 215 million at the end of 2013 of which USD 157 million (73%) was used. FCPF has raised USD 258 million of which USD 29 million (11%) had been disbursed. At the end of 2013 the two programmes had a total of USD 287 million of nonallocated/undisbursed funds accumulated over a period of five years. This raises the issue of appro53
priateness of the delivery process as defined in the current rules.
51
52
53

One of the projects was international, implemented by the ITTO Secretariat.
UN-REDD (2014b)
In the latest Policy Board meeting, several developing country representatives expressed concerns on the lack of disbursement.

65

REDDES donors have been Norway, Switzerland, Japan and the USA. UN-REDD has received funding from Norway, Denmark, Spain, EU, Japan and Luxemburg. FCPF donors have been Germany,
Canada, Norway, Australia, the Netherlands, Finland, Japan, France, the USA, Switzerland, Spain,
Denmark, the UK, the European Commission and Italy. As all these donor countries (apart from Canada) are also ITTO members and REDDES fits into their present financing criteria emphasizing forest
climate benefits, it can be questioned whether all the potential sources of funding are fully aware of theopportunities offered by REDDES and its added value.
Linkages between REDDES and UN-REDD/FCPF
In the initial phases there were discussions on possible coordination and cooperation between
REDDES and the other two programmes. The REDDES programme document envisaged a pilot
country approach and indicated that such countries could be participants in UN-REDD, FCPF andother related initiatives thereby harnessing synergies. In practice, such a joint pilot country approachhas not been formally applied. Nevertheless, ITTO was able to support the other two programmes
54
through REDDES projects which directly complemented their efforts in the DRC. However, ITTO’s
contribution was not made visible in the REDD+ context although it was truly complementary andworking in parallel with UN-REDD and FCPF. As a conclusion, these agencies have not yet demonstrated a real interest in cooperation with ITTO (with the exception of the DRC project and FAO).
It needs to be recalled that initially ITTO has made definitive efforts to link its REDDES work with theparallel REDD+ initiatives for scaling up, ensuring complementarity and duplication. A good example
on scaling up was the REDDES project for ACTO (Amazon Cooperation Treaty Organization) in the55
Amazon region which, after its successful completion, resulted in an agreement on USD 10 million
support between ACTO and the BNDES/Amazon Fund. A similar exercise is currently under consideration with the BNDES /Amazon Fund for Central America.
Another example of complementary activities is the ITTO project (in cooperation with Marubeni Corpo56
ration from Japan) in the state of Acre, Brazil to develop a REDD+ programme for the state which
now has a comprehensive sub-national system for REDD+ implementation. The Government of Acre
has signed the recent New York Declaration on Forests expressing their commitment to climatechange mitigation and respective cooperation between the public and private sectors. Unfortunately
Marubeni could not proceed with follow-up investments in Acre.
While the link with REDD+ is obvious, REDDES projects have often been in a way delinked from theother REDD+ programmes in most other countries, possibly due to the lack of interest as mentioned
above and perhaps lack of initiative from the ITTO side. One way to develop mutual cooperation would
be to regularly present the REDDES projects and programmes in the FCPF/UN-REDD Policy Board
meetings which occur every six months back-to-back for. It is likely that in these events new ideas will
emerge for joint actions. This kind of proactive communication could also address the problem of lack57
of revived interest of Norway and other key donors in funding REDDES.
Lessons learned
58

There is an on-going evaluation on UN-REDD of which the main results are already available. Two
59
evaluations have been carried out on FCPF. The following selected lessons that are relevant for
60
REDDES have been extracted from these sources:
•

54
55
56

57

58
59
60

Early and sustained stakeholder engagement is critical for developing mutual trust, commitment, and the willingness to engage in collective actions.

RED-A 023/09 Rev. 1(F)
RED-PD 029/09 Rev. 1(F)This is an example of REDD+ projects financed through the regular cycle even though it was clearly a ”REDDES” project.
The reasons for using this funding window were uncertainty about financing under REDDES and possibility for the donor toearmark funding in the regular project cycle.
The recent evaluation of Norway’s International Climate and Forest Initiative does not include assessment of REDDES
which is only mentioned in passing in the context of support to Guyana (NORAD 2013).
UN-REDD (2014a)
Baastel & Nordeco (2011); World Bank (2012)
Includes some elements from Caswell & Umali (2012)

66

•
•
•
•
•
•
•
•
•

•

Stakeholder engagement is essential to broadening understanding of SFM. Consultation is thefirst step to be followed by provision of active contribution, giving feedback and leading national dialogues.
Adjusting the rules that condition the use, management, and governance of forests at nationaland sub-national levels takes long to achieve and requires high levels of commitment by decision makers and key stakeholder groups.
The process of developing a national REDD+ strategy is as important as the end product.
Countries can be effectively assisted to develop comprehensive REDD+ strategies. The capacities needed to support and sustain such efforts are proving more difficult to develop.
Effective communication on abstract elements of SFM and other key concepts is best
achieved with practical examples relevant to local conditions.
Building on experiences in managing forest resources at a local level can inform national policy adjustment. A wealth of experience exists in ITTO Member countries on approaches to forest management but this arsenal has not been adequately tapped into.
A shift towards more holistic land and forest management approaches is necessary—also interms of cooperation among multiple actors at various levels (project to national).
Equitable and efficient benefit distribution mechanisms are still nascent and need to be put inpractice through policy reforms.
Slow start of country-level action can be speeded up when leading national staff has been recruited. Implementation can gain momentum in accordance with local capacity. However, staff
turnover, leakage of trained resources, and incidences of capacity substitution by international
consultants have been observed to affect the ability of participating countries to manage theirown affairs.
Effective in-country coordination is important ensuring that the different parties’ support to
REDD+ complements each other. This remains a major challenge having become more complex when the number of (mainly external) actors has increased.

These lessons are also useful for enhancing REDDES implementation as well, which shows that there
is a clear case to share experiences for mutual benefit.
Conclusions
REDDES is clearly complementary to UN-REDD and FCPF in its thematic focus and all the threeshare the same general objectives. The substantive scope of REDDES is broader than in the othertwo programmes which focus on REDD+ readiness building. However, in practice there are similarinterventions in all the three such as enhancing stakeholder participation and capacity building, andnational planning for low carbon sustainable development with forest related interventions.
REDDES is more focused on practical implementation and has a strong focus on demonstration andpilot projects through SFM, restoration and rehabilitation. In the other two support programmes piloting
is also promoted but focusing on carbon rather than having a holistic approach of REDDES covering
all the environmental services of tropical forests. On the other hand, REDDES has also focused on
stakeholder participation and supported MRV and policy development which are among the main
focus areas of UN-REDD and FCPF.
With regard to modus operandi, REDDES is an agile support programme responding to country needs
through a demand driven approach. It does not require compliance with pre-determined phases like in
FCPF which have taken long periods of time to implement. The decision-making structure in REDDES
is also simpler, it does not suffer from similar delays, and its transaction costs are low. However, thesecompetitive advantages are undermined by its limited financial resources, which has precluded
effective programmatic implementation.
5.

ISSUES RELATED TO PROGRAMME IMPLEMENTATION AND FINANCING

5.1

Strengthening of the programmatic approach in Thematic Programmes

There is a perception among donors and some other stakeholders that TFLET and REDDES are stilllargely a collection of individual pre-projects, projects and activities, albeit within a common framework

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of objectives and strategic priorities expressed in the TPDs. However, the portfolio reviews inchapters 2.1 and 2.2 revealed that significant contributions to programme objectives have beenachieved under the two TPs. Nevertheless, there is a need to make TFLET and REDDES moreprogrammatic.
The Programme Documents were elaborated with the intentional purpose of providing a broad
approach to accommodate different country situations and priorities, offer all stakeholders to haveequal opportunity to participate, and to leave open space for innovation. During the last six years
considerable experience has been gained which shows that it is opportune to consider options tostrengthen the programmatic nature of TPs if there is a clear perspective that adequate more or lessregular funding will also be forthcoming. However, the recent funding history (cf. section 5.5) does notsupport this assumption. As this is an example of chicken-and-egg situation, it would be advisable toimprove the programme design rather than wait for funding to come first.
62

The assessment of effectiveness of the pilot operation of ITTO Thematic Programmes in 2013
identified several areas of improvements and made a set of useful recommendations. Building on its
conclusions and the results of this review, six options for improving the programmatic approach are
discussed below:(i) Introduce the modality of targeted calls for proposals and sub-programmes to address gaps
and priorities
Targeted calls could be defined for specific thematic priority areas of the TPs (e.g. improving law
enforcement or SFM certification of community forests and SMEs in TFLET; and payment forenvironmental services and restoration in REDDES). Targeted calls could also be geographicallydefined for specific regions/subregions that have not been adequately covered by programme support.
This could also open up new funding opportunities for donor agencies which may have regional
priorities (e.g. Australia and Japan for the Asia-Pacific, EU for Africa or the USA for Latin America).
Measures could also be taken to activate proposal preparation by stakeholders in countries whichhave not benefited from TPs provided that there is adequate funding available for implementation. In
addition to targeted communication on available opportunities, the Secretariat could identify suchcountry gaps (cf. e.g., Annex 9), work then with Focal Points and potential Executing Agencies andoffer support to proposal preparation with the available resources(cf. also section 5.2).
(ii)

Introduce the modality of thematic sub-programmes to selected priority themes

Setting up new thematic sub-programmes should be considered for selected priority themes ofcommon interest to members (e.g., mangroves, restoration and PES systems in REDDES, andcertification and legality verification in TFLET). Targeted calls for proposals could be launched forsuch sub-programmes, as appropriate(iii) Improving the programmatic approach and complementarity on country level
In spite of the instructions of the ITTO Manual for project formulation, in many cases it is not clear towhat extent the proposal fits into national priorities, as well as sectorial and other related development
plans, as these reference documents are broad and linkages are usually identified only in generalterms. However, the problem is less acute in countries that have elaborated a national forest
programme or action plan. Several non-exclusive options exist to improve the situation of which fourare elaborated below:(a) Development of a national plan for implementing a Thematic Programme in the country throughe.g. a pre-project/small project to provide a programmatic framework for implementation. Such a firstphase would include diagnosis and identification of priority needs for which ITTO support could be
important, together with actions that must be taken by the government and other stakeholders. Thisapproach was applied by e.g., Guatemala through a TFLET pre-project which resulted in a national
plan for strengthening law compliance and increasing production and trade of tropical timber from61
62

Caswell & Umali (2013)
Ibid

68

legal and sustainable sources. A fully-fledged TFLET project followed to support implementation of thepriority action of the national plan.
(b) Another option could be to reactivate the country level diagnostic studies on opportunities andconstraints in achieving SFM that were carried out in the past in almost 20 ITTO producing member
countries. This tool could be revived to target new member countries or countries which have received
little support from ITTO. Such diagnostic studies could focus on identifying a national action planunder one or more TPs. The intervention could also produce project ideas and provide hands-on
training on proposal preparation for stakeholders. One or two consultants could facilitate such
exercises carried out by local counterparts to develop a national plan and fundable project proposals.
(c) The REDDES TPD provides a so far unused facility for a pilot country approach that can be appliedin selected interested ITTO members which submit their candidature for a programmatic country
support involving all the four areas of REDDES intervention. These countries could be participants in
the UN-REDD Programme, FCPF and other related initiatives thereby harnessing synergies. To test
this approach in practice, a pilot country could be identified which has not yet embarked on the UNREDD/FCPF Readiness process but is likely to do so in the future.
(iv) Improving the programmatic approach on international and regional/sub-regional levels
In general, the theory of change does not appear clear in the TPDs and this issue should be
addressed in the updating of the documents. A well-articulated theory of change would help improve
the programmes’ strategic design and communication to donors, potential partners and otherstakeholders.
The review of TFLET and REDDES implementation (cf. sections 2 and 3) shows that ITTO shouldhave a more proactive role to implement necessary activities on international level rather thancontinuing to rely on calls for proposals as the main modus operandi. In the past “pro-activeness” hasbeen applied to fund selected activities of the BWPs that are relevant to TPs. This can only beconsidered a first step into the right direction. It is, however, recognized that it is hard to go out and beproactive when there is no guarantee that resources will be available to implement the projects.
Basically, there would need to be a deal with one or more donors on what to focus on and that at least
some funds will flow if acceptable projects are generated.
TPDs clearly identify the strategic interventions to be undertaken at an international or regional level
which have to be ensured by programme management. Apart from knowledge sharing, these are notadequately covered in the MPs of the two programmes. In REDDES the outputs include policy
instruments, financing mechanisms, training packages, validated technologies and implementation
approaches applicable broadly, knowledge management, networking, information sharing, andcooperation and partnerships with related international and international regional initiatives.
In TFLET such strategic interventions are probably even more important as they include strengtheningof international, regional and cross-country cooperation (one of ITTO’s competitive strengths),
international policy dialogue towards increased convergence, and technology assessment, in addition
to those mentioned above on knowledge management and international cooperation under REDDES.
(v) Improving the programmatic approach thematically through other ITTO instruments
The perceived need for an increased focus on priorities in all ITTO’s support to member countries
should be addressed in the revision of TPDs and MPs. In practice, a stronger and more visible link
between the SAP, BWPs, the regular project cycle, and the TPs would be required by the Council andthe Secretariat in initiating and implementing necessary actions at international/regional/sub-regional
levels.
Transparency and functional links between the TPs and ITTO’s other support instruments would
harness their synergies for which two options can be identified:•

Strengthen the link between the Strategic Priorities of the ITTO Strategic Action Plan 20132018 and the Biennial Work Programmes on one hand, and TFLET and REDDES on the other
hand to ensure (a) their full compatibility and complementarity, (b) the key role of TPs in SAP
implementation, and (c) supporting function of BWPs in TP implementation

69

•

Strengthen and make visible the link between relevant regular cycle projects and the TPs in
programme-level monitoring and thematic evaluation. In carrying out thematic evaluations,groups of relevant projects could be selected from both the TPs and among regular cycle
projects, as appropriate, to maximize information on lessons learned and minimize costs.

(vi) Harnessing synergies with other relevant initiatives
In the case of REDDES and to a lesser extent TFLET, there is a need to achieve improved
complementarity with other parallel programmes (particularly UN-REDD, FCPF, EU-FAO FLEGTProgramme) drawing on the synergies identified in chapter 4. Inviting representatives of the relevant
other organizations to participate in TPACs was initially practiced in the past with positive experience
with FAO. However, past experience shows that it is very difficult to maintain TPACs with members
from related international organizations without having sustained funding and regular periodic calls for
proposals. The World Bank and UN-REDD had been initially invited to participate in the REDDESTPAC, but they did not respond, probably due to more pressing priorities (cf. section 5.4).
In any case complementarities need to be clearly demonstrated by ITTO as they are critical for themain donors. In addition, ITTO could participate in the Policy Board meetings of UN-REDD and FCPF
to present developments in REDDES implementation with the purpose to identify joint actions both oninternational and national levels. In the same way, other agencies could be invited to participate in
TPACs as has already happened with FAO.
5.2

Improving the quality of proposals

The Expert Panels on Project Appraisal have over the years made several recommendations for
63
action to be taken to improve the quality of proposals and these still largely remain valid.
Weaknesses in TP proposal quality are an issue that needs a more proactive approach than in thepast. Having three percent of TP funding for proposal development set aside and available for thispurpose demonstrates that waiting for requests for assistance does not work.
There are two types of weaknesses to be addressed, i.e., meeting the formal requirements of project
proposals and substantive weaknesses in the conceptualization of solutions for the problem to beaddressed. The following options are proposed for consideration to improve the situation provided that
there is a perspective of improved funding for TPs:a) Carry out consultations with new members and other priority countries on the need/possibilityof support to country level diagnostic studies, national action plan preparation and project
formulation as proposed in section 5.1.(ii).
b) Among weak proposals received, the Secretariat should select those that are promising interms of innovation, strategic programmatic priority, potential value for broad applicability/
replication and improving knowledge sharing. The proponent could be offered ITTO’s support
to finalizing the proposal, which could be provided either by the Secretariat staff or aconsultant.
c) Continue strengthening of pools of qualified project formulation and implementation specialists
in ITTO producing member countries through training to be drawn on by stakeholders to assist
stakeholders in proposal preparation.
5.3

Management of TPs as programmes

TP projects are managed and monitored like regular cycle projects rather than as a pool of64
thematically linked activities. Each project is assigned to a technical division (TFLET for Trade andIndustry Division (TI) and REDDES to Reforestation and Forest Management Division (RFM). This is
logical as the divisions also manage those regular cycle projects that contribute to TP objectives (cf.
section 4.1.3). From the substance point of view the approach is rational.

63
64

See also ITTO (2012a) Meta-evaluation for suggestions to improve the quality of project proposals.
Caswell & Umali, ibid.

70

As a principle, each TP needs to have a designated technical manager, part-time or full time,depending on the volume of work. However, this is not the case at present. The only logical option
would be to assign the TP management duty to the Assistant Director of each division as long as the
programmes do not become so large that recruitment of a designated Programme Manager becomes
justified.
Divisional Assistant Directors would be responsible for the overall supervision and implementation of
relevant TPs having an oversight role in order to ensure that (i) priorities and gaps in implementation
are addressed, (ii) knowledge sharing is effective, (iii) necessary participation of programmemanagement in fundraising is assured, and (iv) linkages between TPs, the regular project cycle, and
BWP activities are harnessed. It is also important to have periodic staff meetings or other informationexchange within divisions for ensuring cross-breeding between regions as Project Managers tend to
focus their work on specific regions.
In view of the heavy workload of Assistant Directors, TP technical management responsibilities could
be partly delegated to Project Managers, particularly if the regular project cycle keeps declining andmore funding comes into the TPs.
As there are close linkages between individual thematic programmes (cf. section 4.1), many
operational aspects need to be coordinated. The cross-programme coordination and support functionsin implementing calls for proposals and handling of proposals could be maintained under the
responsibility of the Planning and Evaluation Officer but her/his role could also be expanded to othertasks related to TP implementation, including generating information for programme-level monitoring.
ITTO has presently two almost identical processes for project appraisal which work independently
from each other, one involving Thematic Programme Advisory Committees (TPAC) for TPs and theother involving the Expert Panel on Project Appraisal for the regular project cycle. The procedures
could be harmonized considering the experience gained in the thematic programmes. The earlier
65
recommendation on their merging is supported.
5.4

Simplification of programme procedures

The principal modus operandi of thematic programmes is periodic open calls for proposals under each
TP when there are sufficient funds to justify one (in general about USD 1 million). However, a total of
five calls have been limited to pre-projects and small proposals due to lack of adequate funds for a fullopen call (Table 5.1).
REDDES has attracted by far the most proposals; even the limited fourth call attracted 23 proposals.
The second most popular TP is TFLET raising a growing interest. Limited calls attract fewer proposals,
probably because proponents know the approximate amount available. One of the major problems of
the TPs is the irregular launch of proposal cycles due to the sporadic availability of funds.
The proposals received are first reviewed by the Secretariat which may request additional information
to comply with the basic requirements. Those proposals which have passed the Secretariat’s scrutiny
are then reviewed by TPAC members and a joint opinion is developed through integration of member
inputs by the Secretariat leading to a recommendation by TPAC as a whole. The decision on selectionof proposals for financing is then made by the Executive Director, with administrative procedures and66
final financing decision to follow.
Assessment criteria are identified in each TPD containing a set of general aspects and two TP specificcriteria. The list of general criteria contains eleven points being applicable also for non-TP projects andthey provide little guidance for substantive elements of a TP project. It is appropriate that theseassessment criteria have been made known to project proponents to help them reach an acceptable
quality of proposals but due to their general nature and difficulties in interpretation of some of them,
their practical use appears to be somewhat limited.

65
66

Fullan & Tomaselli (ibid)
The detailed process is described in ITTC Decision 4(XLVIII) Strengthening ITTO Thematic Programmes (ITTC(XLVIII)/20

71

Table 5.1

Proposals received and approved under four Thematic Programmes
2009

Cycle
TFLET
Cycle
REDDES
Cycle
CFME
Cycle
TMT

2010

2011

2012

2013

2014

Total

st

2

nd

3

rd

*4

th

5

th

6

th

6

4(1)

13(5)

7(4)

6(3)

10(1)

16(7)

56(21)

st

2

nd

3

rd

*4

12(1)

22(9)

37(14)

23(7)-

94(31)

1

1

1

th

st

9(5)

9(5)

st

2

nd

*3

rd

*4

th

*5th

2(1)

5(3)

6(4)

3(1)

open

1

16(9)

Notes:•••

The fields show the number of proposals received and the number of approvals in parenthesis
The 5th TMT Cycle had a deadline of 9 January 2015 and the result is not considered here.
*indicates that the call was limited to (pre- and) small proposals due to limited funding available (less than
US$ 1 million)•
Eight activities approved under the TFLET pre-cursor are not included in this table because there was no call for
proposals at that time (2007)
Source: ITTO Secretariat

The substantive strategic criteria are included in the two TP-specific elements of which the first one
can also be applied in setting priorities between proposals.
a. Address the proposal’s conformity with the TP deliverables set out in the relevant TPD
b. Associate expected results with the relevant TP Monitoring Protocol, including means ofverification
In view of the current weaknesses in the Monitoring Protocols of the two TPs (cf. sections 2.1.15 and3.1.15), the second specific criterion can be considered partly unhelpful and in addition, it isoverlapping with the first one and could be dropped. What appears to be needed is guidance (not acriterion of approval) for how to report on outcomes and outputs (e.g., listing/number of technicaldocuments, number of training courses, stakeholder workshops and other events, and number andtype of participants). Systematic PCR practices would facilitate programme level monitoring andevaluation.
The tasks of the TPACs are to (i) select activities/pre-projects/projects for financing under the
Thematic Programme; (ii) monitor and evaluate progress in implementing the Thematic Programme;and (iii) identify potential additional sources of voluntary financial contributions to the Thematic
Programme. For the time being, none of the TPACs have embarked on the last two tasks in asystematic way as yet. The experience shows that TPACs cannot be expected to contribute to
fundraising in the present setting.
Based on the interviews carried out, it appears that TPACs include both “active” members who carryout a detailed examination of the proposals and “passive” members who just tend to agree with theresults of the Secretariat review. It has proved to be very difficult to maintain effectively working
67
TPACs without having regular funding and periodic calls for proposals. Lacking physical meetings
has not contributed to the cohesion and commitment of TPAC’s functioning as a common body of its
members. On the other hand, electronic working method allows continuous working of the TPACs
when needs arise instead of operating within fixed periodic deadlines which accumulates the workload
for short congested periods.

67

Apart from one physical meeting in the launching phase of TPs.

72

Stakeholders in member countries prepare TP proposals that are submitted to ITTO through ITTO
Focal Points who are urged to ensure that these are complete, properly formatted and contribute tonational priorities in the thematic area. In the case of REDDES and TFLET, a majority of approved
projects have been submitted by government agencies (cf. sections 2.1.7 and 3.1.7). The processcharacteristics tend to favor proponents that are familiar with ITTO procedures and are easily kept
informed on the call for proposals.
The proposals are presented in largely the same format as the regular cycle projects as laid down in
the ITTO Project Formulation Manual with some additional elements added. The requirements for preprojects and small projects are lighter.
Although the innovative TP procedures are faster and represent lower transaction costs than in thecase of regular cycle projects, they are still somewhat complex and rigid. In addition, theseadvantages are undermined by delays due to sporadic implementation because of shortage offunding. Electronic review using the current proposal appraisal form is efficient but may sometimes
prevent good innovative ideas not fitting well with the identified appraisal indicators to pass.
The ITTO/CITES Programme is another instrument with a thematic focus which can offer importantlessons for TPs, particularly TFLET and TMT as all the three deal with the same broad issue, i.e.,sustainability and legality of international trade in tropical timber and timber products. The key successfactors of the ITTO/CITES that are largely missing in the TPs are as follows (Box 5.1):•

A focused problem to be addressed (overcome or avoid trade restrictions) with clearly defined
results to be achieved•

A designated national authority to manage the Convention implementation in the member
country and to be the Counterpart Agency for the programme; the same agency could in mostcases serve as the counterpart agency for TFLET and TMT; in the case of REDDES thenational REDD+ agency could be the natural choice.

•Responsive and forward looking modus operandi: in the case of TFLET this would mean early
analysis of emerging trade-related regulations, identification of which member countries aremostly impacted, and what action countries should take to minimize their possible negative
impacts and make use of opportunities opening up.

•

Simplified procedures with short processing cycle of proposals•

Regional coordinators who maintain close contact between the national focal points and otherstakeholders. They are part-time consultants to reduce management costs.

•

Low transaction costs•

Trust built up among the government agencies and the private sector•

A close attention to what parallel donor-funded programmes are doing, in order to ensure
contribution to their objectives (e.g. to facilitate implementation of the FLEGT Action Plan incountries working on the VPA process).

•

Sustained financing from the core donor aided by gradual building of trust in ITTO as
implementing agency

The ITTO/CITES experience raises a number of options to improve the implementation of Thematic
Programmes:a) Revise the Programme Documents, MPs and the operational procedures to achieve increased
responsiveness and agility with reduced transaction costs;b) Introduce and formalize the role of counterpart agencies in view of the limited capacity ofnational Focal Points to assist in programme implementation which may not fall under the
mandate of their own agencies;c) Introduce specific responsibilities for Regional Officers to improve coordination and promotionof TP activities in their regions to be implemented in cooperation with Project Managers andstaff responsible for TP management;d) Introduce focused sub-programmes within or in parallel with TPs (e.g. trade related, promotionof certification and timber tracking in TFLET, PES mechanisms, mangroves in REDDES etc.
to be identified separately) (cf. section 5.1.(i)).

73Assessment of these options should be made separately and is not part of the scope of this review.
Box 5.1

Lessons learned from the ITTO/CITES programme

The overall objective is to ensure that international trade in CITES-listed tree species is consistent with theirsustainable management and conservation and to increase the quality of forest trade information so as tofacilitate better policy planning. The programme assists designated CITES national authorities and the private
sector to meet the Convention requirement in managing and regulating trade through capacity building supportand improvement of information on biology and management of the listed tropical timber species and trade intropical forest products.
The programme prioritizes eight significant exporters of listed timber species but may support other countries aswell in order to be responsive to changing conditions. Eight expected results have been identified, each with a listof main activities and indicators. Each of the three specific objectives is broken down into outcomes, outputs anddeliverables. The programme also includes a component on the TMT-TP.
The Programme is implemented by ITTO with regular guidance by the CITES Secretariat and the Advisory
Committee. There are three (part-time) regional coordinators (consultants) who maintain close contact withnational CITES authorities and other stakeholders.
Governments can propose activities to be carried within the programme framework for which a simplified Activity
Proposal format has been provided. Regional coordinators review the proposals and, if necessary, assist in their
finalization.
The programme is forward looking and responsive as it identifies emerging issues which need to be addressed
rapidly by producers and exporters to meet changes in CITES regulations such as new potential species listing,risk for intensive trade review, and what action should be taken (assessment of national situation, collection ofsamples, identification training, preparation of forest management plans, species inventory, tracking system, etc.).
Suggestions are made for countries for necessary action (activity idea) for which support can be made available.
It is up to the country to prepare an activity proposal if the idea is deemed justified.
A considerable degree of trust has been built up between national stakeholders and the programme, which has
been another success factor.
The intervention combines good principles of a demand driven approach fostering local ownership.
The costs of the programme-funded activities vary up to USD 120,000 to USD 200,000 and their duration isrelatively short (typically 12 months). The cycle from activity identification through preparation, review andappraisal to the start-up of implementation takes usually maximum up to 6 months but usually much less.
The ITTO/CITES programme is generally considered a qualified success and it can offer valuable lessons learned
for the implementation of the TFLET and TMT TPs. One of its success factors has been sustained financial
support from the core donor, the European Union.

5.5

Improving knowledge sharing

In view of the broad applicability of lessons learned and knowledge products developed under the two
TPs (cf. sections 2.1.15 and 2.2.15; Annex 4) their effective sharing is critical for capitalizing theinvestment made by ITTO and its donors. The communication and outreach actions on TPs and theirresults have included presentations and side events at relevant meetings and conferences. Several
publications have also been prepared in 2009-2010 (a brochure “ITTO Thematic Programmes Sustaining Tropical Forests”, a poster, an article on REDDES in the UN-REDD Newsletter, articles in
the Tropical Forest Update, etc.).
Comprehensive information and materials on TPs have recently become easily accessible in the ITTO
home page (cf. sections 2.1.17 and 2.2.17). Since mid-2014, upon the launching of the Project searchfacility, it is possible to download documents which are related to a particular project, type of project,thematic issue, country or region, etc. This has now greatly facilitated sharing of knowledge amonginterested parties worldwide, not limited to the ITTO member countries and their stakeholders. Use of
the facility needs to be monitored and continuously improved based on the feedback received.
International and regional thematic conferences and workshops have been an important tool forsharing knowledge on topical priority issues (e.g., tenure, payment for environmental services). Such
events are also useful for promoting ITTA objectives among member countries and they need to becontinued. In particular, regional events for knowledge sharing appear to have been well received

74

thanks to sharing experience and new information which can be directly applicable in participant homecountry conditions.
It is clear from the analysis of linkages between TPs, regular cycle projects and BWP activities (cf.
section 2.3) that thematic knowledge sharing is a cross-cutting activity in ITTO. The report on the68
Organization’s Knowledge Management Strategy provides the elements for effective sharing of69
knowledge.
5.6

Financing and effectiveness of the Thematic Programmes

Financing has become the most serious obstacle for effective implementation of TFLET and REDDES.
No pledges have been received to these two TPs since 2013. In 2012 new pledges were received
including USD 300,000 to REDDES and USD 2,192,098 to TFLET (Table 5.2). CFME has notreceived any new pledges since 2010. It is apparent that funding has been too sporadic to allow
effective implementation of the TPs (cf. also Table 5.1). The Thematic Programme on Industry
Development and Enterprises (IDE) has not yet received any pledges from donors.
Table 5.2

Funding Status of Thematic Programmes in December 2014
Thematic
Programme
TFLET
REDDES
CFME
TMT
IDE

PledgesCommitted

9,079
9,533
1,100
2,351
0

USD 1,000
8,655
9,361
1,055
1,640
0

Available forallocation
424
171
45
711
0

Source: ITTO Secretariat

Table 5.3 summarizes the sources of funding for TPs. In order to address the weakness in the current
situation, the Council made Decision 4(XLVIII) on Strengthening the Thematic Programmes’,
Operative Clause 4 to ‘urge members to contribute to the Thematic Programmes Sub-Account in orderto fully implement on-going Thematic Programmes as soon as possible. This Decision has not led toconcrete action by donor agencies and other sources of funding.
ITTO has an on-going fundraising activity but it is presently (February 2015) unclear to what extent it
will succeed in mobilizing new financial resources to support TP related actions. There is no indication
or expectation that TP funding will increase in the short run. On the other hand, some progress ismade through regular cycle projects that share TP objectives (cf. section 2.3.3).
Donors cannot earmark their funding within TPs which has apparently negatively influenced theinterest of some of them in using this instrument. However, TPs were introduced upon donor initiatives
to have a more strategic approach to the organization’s project work and to respond to a common
wish to move towards unearmarked funding. This worked during the pilot phase but has since thenfaded out. Many donors have continued to give priority to hand-pick projects rather than leaving thedecision to the procedures established for the TPs
Apart from the EU/CITES contribution to TMT, the only large contribution has been provided byAustralia to TFLET which has a “geographic string” to be used to help tropical timber suppliers to theAustralian market meet the new legislation on legality of timber imports (Table 5.3). This string limits
the scope of support to the Asia-Pacific region. The CITES contribution to TMT to proposals that are
relevant to CITES species.
At present, proponents have to carefully assess which window (regular project cycle or one of theTPs) they apply for when presenting project proposals. This has resulted in submitting “TP-qualified”
proposals to the regular project cycle which currently has more substantial and regular resources.
68
69

Fullan & Tomaselli (2014)
Ibid.

75

Donors cannot earmark their funding within TPs which has apparently negatively influenced the interest of some of them in using this instrument. However, TPs were introduced upon donor initiatives tohave a more strategic approach to the organization’s project work and to respond to a common wish
to move towards unearmarked funding. This worked during the pilot phase but has since then fadedout. Many donors have continued to give priority to hand-pick projects rather than leaving the decision
to the procedures established for the TPs.
Table 5.3

Pledges to the Thematic Programmes (up to December 2014)
Pilot Phase
Donor

NorwayNetherlands
Japan
Australia
Switzerland
USA
UK
EU/CITES
FinlandGermanyJLIA
New ZealandSwedenKorea
Total Pilot Phase- USD -

Total

TFLET

REDDES

CFME

TMT

8 228 960
3 000 000
2 275 953
280 608
1 883 040
1 532 456
949 380
356 356
132 888
77 76150 00037 53025 000
10 000

15 0003 000 000
991 235
280 608683 040757 456949 380

8 173 960

40 000483 782

635 000

165 936400 000
175 000

100 000
300 000

700 000
300 000

18 839 932

6 887 209IDE

356 356
97 68935 19977 76150 00037 53025 000
10 0009 232 742

1 100 000

1 619 981

0

TP pledges under SAP 2013-2018
Australia
EU/CITES
Switzerland
Japan
USA
Total SAP 2013-2018

1 942 098
1 300 000
300 000
200 000
150 000

1 942 098

3 223 517

2 192 098

1 300 000
300 000
200 000
50 000100 000
300 000

0731 419

0

Total
TOTAL by TP

22 063 449

9 079 307

9 532 742

1 100 000

2 351 4000

Funding target

22 063 449

15 00 000

18 00 000

10 00 000

5 00 000

N/a

It can be concluded that none of the TPs has received full funding and funding has ‘trickled in’ rather
than coming in steadily to allow implementation of the intended programmatic approach. Nevertheless,even with the limited funding available, the pre-projects, projects and activities of the two TPs
reviewed in this report have enabled substantial achievement in terms of the intended outputs as
defined in the Monitoring Protocols. In spite of the needs to improve the existing programme
documents and management arrangements, they have served as relevant guides for effective
implementation within the resource constraints.
The short-term funding perspectives are not positive even though the situation could change if someearlier major donors make a “come-back” and new ones can be attracted. In case new funding cannot
be mobilized, implementation of the two thematic programmes will end when all the on-going projects
have been completed. This report has tried to identify a series of measures to avoid this to happen.

76

6.

RECOMMENDATIONS

1.

Update the programme design
1.1 The Programme Documents and the Monitoring Protocols should be revised together withprocedures and other guidance for implementation to achieve increased responsiveness andagility, together with reduced transaction costs.
1.2 The theory of change should be clarified in the TPDs. A well-articulated theory of change
would help improve the programmes’ strategy as well as communication to donors, potential
partners and other stakeholders.
1.3 Proper guidance should be provided for how project outputs should be reported in monitoring
and completion reports as the present practice is inadequate not resulting in systematiccompilation of comprehensive information on outputs and achievements at the programme
level.

2.

Strengthen the programmatic approach
2.1 A modality for targeted thematic and geographic calls for proposals should be introduced inorder to facilitate resource mobilization.
2.2 Drawing on the experience of the ITTO-CITES Programme, the concept of thematic subprogrammes should be considered in order to provide strategic response to emerging priority
issues. In this context, counterpart agencies in producing member countries should be identified and their role could be formalized in TP implementation, in view of the limited capacityof national Focal Points to assist in thematic areas that may not fall under the mandate of
their own agencies.
2.3 The identified proactive measures should be taken to improve programme-level impacts atcountry, regional and international levels, as appropriate.
2.4 The thematic links between the TPs, SAP and BWPs as well as the regular cycle projectwork should be strengthened and considered in monitoring and evaluation.

3.

Harness synergies with other international initiatives
3.1 Complementarities between ITTO’s Thematic Programmes and related international initiatives should be effectively communicated emphasizing the TP value added to potential partners as such information is critical also for the main donors.
3.2 As there are apparent synergies between TFLET and the EU-FAO FLEGT Programme, possibilities for cooperation and coordination should be jointly explored by FAO and ITTO, in
consultation with the EU, in order to leverage impacts of the two initiatives.
3.3 ITTO should regularly participate in the FCPF/UN-REDD Policy Board meetings and present
the REDDES projects and programmes to enhance cooperation and generate new ideas forjoint actions.
3.4 Related agencies such as FAO, UN-REDD, FCPF and others should be re-invited to participate in TPACs (if these continue to operate) provided that adequate regular funding for implementation can be mobilized.

4.

Strengthen the programme management
4.1 Proactive measures should be taken to assist (a) priority countries with no or limited past
support, and (b) project proponents in finalizing their weak proposals with potential for innovation, broad applicability/replication, and knowledge sharing.

77

4.2 Technical management responsibility of the thematic programmes should be assigned toappropriate Assistant Directors as long as the programmes do not become so large that recruitment of a designated Programme Manager becomes justified. Assistant Directors should
be responsible for overall TP supervision and implementation having an oversight role in order to ensure that (i) priorities and gaps in implementation are addressed, (ii) knowledge
sharing is effective, (iii) necessary participation of programme management in fundraising isassured, and (iv) linkages between TPs, the regular project cycle, and BWP activities areharnessed.
4.3 The Planning, Monitoring and Evaluation Officer should continue to be responsible for theadministrative TP coordination and management of the call for proposals. Her/his role could
also be expanded to other tasks related to TP implementation, including generation of information for programme-level monitoring.
4.4 Specific responsibilities should be assigned to Regional Officers to improve coordination andpromotion of TP activities in their regions, to be implemented in cooperation with ProjectManagers responsible for TP projects.
5.

Improve the project cycle
5.1 The requirements for project proposals, their approval criteria and programme proceduresshould be simplified.
5.2 TPACs and the Expert Panel on Project Appraisal should be merged, which would contributeto (i) better integration of the TPs and regular cycle projects, (ii) improved allocation of limited resources to priority projects, (iii) improved quality and reduced costs of appraisal work,and (iv) reduced Secretariat workload.

6.

Improve knowledge management
6.1 In carrying out thematic evaluations, groups of relevant projects should be selected fromboth the TPs and regular cycle projects, as appropriate, to maximize generation of information on lessons learned and to optimize costs.

7.

Mobilize resources
7.1 Measures should be taken to actively communicate on the value added and achievements of
the ITTO Thematic Programmes to the donor community and other relevant stakeholders.

78

REFERENCES
Baastel & Nordeco. 2011. First program evaluation for the Forest Carbon Partnership Facility (FCPF).
th
June 13 , 2011.
Caswell, S.J. & Umali, R.M., 2013. Effectiveness of pilot operation of ITTO Thematic Programmes.
Final Report.
Egger Topper, E. & Rocher, J. 2011. Mid term evaluation of ACP FLEGT Programme. Final report.
European Union/EuropAid. March 2011.
EU-FAO ACP FLEGT. 2013. Forest Law Enforcement, Governance and Trade Support Programme
for African, Caribbean and Pacific Countries (FLEGT-ACP) (GCP/INT/064/EC). Final report.
December 2013.
FAO, UNDP, UNEP. 2008. Framework Document. UN Collaborative Programme on Reducing
Emissions from Deforestation and Forest Degradation in Developing Countries (UN-REDD). 20
June 2008.
FCPF. 2013. Forest Carbon Partnership Facility 2013 Annual Report. Washington, D.C.
Fullan, R. & Tomaselli, I. 2013. ITTO Knowledge Management Strategy and Action Plan. Draft report.
ITTC-JC(XLVII)/2. 8 October 2013.
International Bank for Reconstruction and Development. 2013. Charter Establishing The Forest
Carbon Partnership Facility. August 8, 2013.
ITTO. 2009. Progress report on the implementation of Thematic Programmes. ITTC (XLV)/12 Rev. 1
ITTO. 2010. Progress report on the implementation of Thematic Programmes. ITTC (XLVI)/9
ITTO. 2011. Progress report on the implementation of Thematic Programmes. ITTC (XLVII)/9
ITTO. 2012a. Meta-evaluation of ex-post evaluated projects.
ITTO. 2012b. Progress report on the implementation of Thematic Programmes. ITTC (XLVIII)/9 Rev. 1
ITTO. 2012c. Tracking sustainability. Technical Series 40. Yokohama.
ITTO. 2013. Progress report on the implementation of Thematic Programmes. ITTC (XLIX)/7
ITTO. 2014. Progress report on the implementation of Thematic Programmes. ITTC (L)/11
ITTO/FAO. 2014. Rewarding the service providers. A policy brief. Compensating tropical forest
dwellers, owners and managers for the environmental services their forests provide will
enhance livelihoods and improve management.
Martin, M. & Baharuddin, H.G. 2014. Draft report on analysis of the economic impact of governmental
procurement policies on tropical timber markets. CEM-CFI(XLVIII)/5. 22 September 2014.
NORAD. 2013. Real-time evaluation of Norway’s International Climate and Forest Initiative
Contribution to Measurement, Reporting and Verification. Evaluation Department. Report
5/2013.
UN-REDD. 2014a. External evaluation of the United Nations Collaborative Programme on Reducing
Emissions from Deforestation and Forest Degradation in Developing Countries (the UN-REDD
Programme). Volume I – Final Report. June 2014.
UN-REDD. 2014b. Roadmap for development of the UN-REDD Programme 2016- 2020 Strategy.
thInformation Note on UN-REDD. UN-REDD Programme 12 Policy Board Meeting. 7-9-July
2014, Lima, Peru.
World Bank. 2012. Global Program Review: Forest Carbon Partnership Facility. Independent
Evaluation Group. Washington, D.C.

79

LIST OF ANNEXES

Annex 1 TERMS-OF-REFERENCE
Annex 2 LIST OF PRE-PROJECTS AND PROJECTS INCLUDED IN THE REVIEW
Annex 3 ASSESSMENT DESCRIPTORS
Annex 4 TECHNICAL REPORTS PRODUCED BY TFLET AND REDDES THEMATIC
PROGRAMMES
Annex 5 LEVEL OF ACHIEVEMENT OF THE TFLET THEMATIC PROGRAMME IN RELATION TO
THE TARGETS OF THE MONITORING PROTOCOL
Annex 6 LEVEL OF ACHIEVEMENT OF THE REDDES THEMATIC PROGRAMME IN RELATION
TO THE TARGETS OF THE MONITORING PROTOCOL
Annex 7 REGULAR CYCLE PROJECTS AND BWP ACTIVITIES WITH LINKAGE TO TFELT AND
REDDES THEMATIC PROGRAMMES
Annex 8 COMPARATIVE ANALYSIS BETWEEN TFLET/REDDES AND RELATEDINTERNATIONAL PROGRAMMES
Annex 9 COUNTRY COVERAGE OF THEMATIC PROGRAMMES, EU-FLEGT PROGRAMME, UNREDD AND FCPF
Annex 10 LIST OF INTERVIEWEES

80

ANNEX 1 TERMS-OF-REFERENCE
Within the framework of implementation of the ITTO Knowledge Management Action Plan presented at the 49th ITTC in Libreville, Gabon, the Consultant shall conduct a synthesis of the aggregated achievements of the completed projects under the
ITTO Thematic Programmes on a) Reducing Deforestation and Forest Degradation and Enhancing Environmental Services(REDDES) and b) Forest Law Enforcement, Governance and Trade (TFLET) towards the respective programmatic objectives.
The consultant, for a period of 2.0 months, will carry out the synthesis and provide a final report and executive summary in accordance with the responsibilities as outlined below.
The responsibilities of the Consultant include inter alia, the following:•

Prepare a draft synthesis report and executive summary for circulation to ITTO Members by 6 October 2014 and a final report and executive summary by 31 January 2015;•

Assess the programmatic coverage (and quality) of the work done so far in relation to the REDDES and TFLET Programme
Documents (TPD) and Monitoring Protocols (MP) including the identification of potential gaps;•

Synthesize the aggregated achievements of the completed projects under the ITTO Thematic Programmes on REDDES and
TFLET towards the respective programmatic achievements;•

Assess the complementarity of REDDES and TFLET with other related initiatives at international level and identify the TP
added value;•

Assess lessons learned and effectiveness of knowledge sharing (incl. replicability, innovation, communication, etc.);•

Provide key conclusions and recommendations on strengthening the programmatic approach and as appropriate provide
suggestions for adjustments to the programme strategy.

81

ANNEX 2 LIST OF PRE-PROJECTS AND PROJECTS INCLUDED IN THE REVIEWTFLET PROJECTS
Code
Projects completed
PD 124/10 Rev. 2(M)
TFL-PD003/09
Rev.2 (M)
TFL-PD017/09
Rev.2 (M)
TFL-PPD 001/09
Rev. 2(M)
TFL-PPD023/10
Rev.1 (F)
TFL-SPD007/09
Rev.1 (M)
TFL-PD024/10
Rev.2 (M)
TFL-PD010/09
Rev.1 (M)
TFL-PD019/10
Rev.2 (M)
PPD 138/07 Rev.
1(M)Country

AfricaCameroon
China
Colombia
Germany
Ghana
GuatemalaIndonesia
Indonesia
Peru

Sub Total
Projects on-going
TFL-PD 037/13 Rev.
2(M)
TFL-PD014/09
Rev.1 (M)
TFL-SPD028/12
Rev.1 (M)
TFL-PPD040/13
Rev.2 (M)
TFL-PPD045/13
Rev.2 (M)Title

Promotion of Sustainable Management of African Forests

864,070

Strengthening the National Process for Controlling Illegal Logging and Associated Trade in Cameroon
Equipping small and medium sized forestry enterprises in China for procurement of tropical timber fromlegal and sustainably managed forests
Implementar y fomentar el manejo forestal sostenible mediante la formulación de un plan de acción parael mejoramiento de la aplicación de la legislación y la gobernanza forestal en Colombia
Development and implementation of a species identification and timber tracking system in Africa with
DNA fingerprints and stable isotopes
Strengthening the Capacity of Small-Medium Enterprises in Ghana to Produce and Trade in Timber
Products from Legal and Sustainable Sources
Fortalecimiento de las Capacidades Institucionales para mejorar la Observancia de la ley y la
Gobernanza Forestal en Guatemala

365,526

Strengthening the Capacity of Related Stakeholders in Java on Implementing New Indonesian TLAS

474,163

Developing Collaborative Management of Cibodas Biosphere Reserve, West Java Indonesia

496,670

Verifying the Legality of Timber Forest Products in Peru

79,84410 projects
Australia
Cameroon
Ghana
Guatemala
Guatemala

ITTO Funding

Implementing a DNA Timber Tracking System in Indonesia
Reduction of Illegal Logging Through Better Governance of Community Forests in the Lorn et Djerem
Division, East Region, Cameroon
Empowering Civil Society Organizations and Other Non-state Actors to Effectively Contribute to Forest
Law Compliance in Ghana
Development of a Program to Strengthen the Traceability of Legally Sourced Forest Products in Guatemala
Improving Forest Product Monitoring and Efficiency Through the Development of a Program to Enhance
the Performance of the Primary Forest Processing Industry

322,056
91,498
175,742
163,039563,339

3,595,947

518,833
302,562
147,701
74,586
66,49282

Code
TFL-PD032/13
Rev.2 (M)
TFL-PD033/13
Rev.2 (M)
TFL-SPD038/13
Rev.3 (M)
TFL-SPD029/12
Rev.1 (M)
TFL-SPD030/12
Rev.1 (M)
Sub TotalCountry
Indonesia
Indonesia
Mali
Peru
Peru

Grand Total

Title
Strengthening the Capacity of Local Institutions to Sustainably Manage Community Forestry in Sannggau for Improving Livelihood
Strengthening the Governance of Community Forest Through Improved Capacity to Adequately Perform
Timber Administration in Java and Nusa Tenggara Region in Indonesia
Capacity-Building Programme to Foster Law Enforcement and Local Governance over Timber Use andMarketing Activities in the Segou Region, Mali
Marketing of Timber From Legal and Sustainable Sources by Indigenous Communities in Ucayali, Peru
for Their Fair Trade Market
Improved Governance and Implementation of Transparent Negotiation Mechanisms for Indigenous
Community Forestry in Atalaya (Ucayali), Peru

ITTO Funding
456,680
495,880
149,707
137,941
131,236

10 projects

2,481,618

20 projects

6,077,565

REDDES PROJECTS
Code
Projects completed
RED-PD029/09
Rev.1 (F)
RED-PPD051/11
Rev.1 (F)Country

BrazilCameroon

RED-PPD074/12
Rev.1 (F)

Cameroon

RED-SPD020/09
Rev.1 (F)

China

RED-A023/09 Rev.1
(F)

DRC

RED-PD026/09
Rev.1 (F)
RED-PD005/09
Rev.2 (F)
RED-PPD041/11
Rev.2 (F)
RED-PD007/09
Rev.2 (F)Ghana
GuyanaHonduras &GuatemalaIndonesia

Title

Monitoring deforestation, logging and land use change in the pan Amazonian forest - Panamazon ii
Contribution à la mise en place des mécanismes REDD à travers le renforcement de la participation desacteurs à la gestion durable des massifs forestiers du Cameroun
Identification of a project on gender mainstreaming in the development of actions to control deforestationand forest degradation to improve the well-being of communities dependent on forests and other ecosystems in Central and West Africa
Development and demonstration on scheme of payment for environmental services (PES) derived fromdegraded and secondary tropical production forests in Hainan province, China
Appui technique pour le développement d’un inventaire forestier national dans la République Démocratique du Congo pour évaluer le stock de carbone et changements dans le stock de carbone dans les terrains forestiers
Reducing emissions from deforestation and forest degradation through collaborative management withlocal communities
Strengthening Guyana’s capacity to manage forest resources and environmental services through resources assessment and monitoring changes in deforestation and degradation
Designing a programme for capacity building and meaningful stakeholder participation in forest governance and REDD+ in Honduras and Guatemala
Enhancing forest carbon stock to reduce emission from deforestation and degradation through sustainable forest management (SFM) initiatives in Indonesia

ITTO Funding
1,124,784
81,864
101,117
149,040
476,820
658,716
400,680
144,651
447,07183

CodeRED-SPD009/09
Rev.2 (F)
RED-A 004/09
RED-PA056/11
Rev.1 (F)
RED-PA069/11
Rev.1 (F)Country
Indonesia
All countries
Cameroon,
Ghana, Liberia
and Nigeria
ITTO Producers

Sub Total
Projects on-going
RED-PPD050/11
Rev.1 (F)RED-SPD075/12
Rev.1 (F)RED-SPD055/11
Rev.3 (F)RED-SPD077/12
Rev.1 (F)
RED-PD093/12
Rev.3 (F)
RED-PPD006/09
Rev.2 (F)RED-SPD079/12
Rev. 1 (F)RED-PD064/11
Rev.2 (F)RED-SPD084/12
Rev.1 (F)
RED-PD037/11
Rev.2 (F)
RED-PD045/11
Rev.2 (M)
RED-PD038/11
Rev.3 (F)
RED-PD018/09
Rev.1 (F)Title
Promoting the partnership efforts to reduce emission from deforestation and degradation of tropical peatland in South Sumatra through the enhancement of conservation and restoration activities
Building a voluntary carbon marketing scheme to promote sustainable forest management
Strengthening the capacity of itto producer countries in Africa in generating and disseminating scientificinformation on reducing deforestation and forest degradation and enhancing environmental services fromforests
Reducing deforestation and forest degradation and enhancing environmental services in tropical forests(REDDES)

13 projects
Cameroon
China
Ecuador
Ghana
Ghana
Guatemala
GuatemalaIndonesia
Liberia
Malaysia
MexicoParticipatory development, conservation and rehabilitation of degraded forest areas in the bamboutos
mountain chain, West Cameroon
Demonstration on investigation and assessment of tropical forest ecotourism resources in Hainan province, China
Integrating sustainable livelihoods, environmental mortgages, and science-based reforestation for tangible forest conservation change in the Ecuadorian Chocó
Rehabilitation of degraded forests for sustainable wood fuel production and climate change mitigation in
the forest-savanna transition zone of Ghana
Advancing REDD+ in Ghana: preparation of REDD+ pilot schemes in off-reserve forests and agro-forests

ITTO Funding
149,493
97,180253,120
143,5104,228,046
73,613
145,800
149,922
121,662
297,205

Local REDDES programme for development and addressing climate change in Guatemala: building social processes for sustainability
Strengthening of governance and sustainable management of mangrove ecosystem in Guatemala as aclimate change adaptation measure
Promoting local community initiative on the rehabilitation of mangrove ecosystem with demonstration activities in Bintan Island to reduce further deforestation and forest degradation

146,750

Improving efficacy of forestry policies and activities in Liberia through REDD+ demonstration projects

149,922

Reducing forest degradation and emissions through sustainable forest management in Peninsular Malaysia
Environmental assessment and economic valuation of ecosystem services provided by coastal forests(mangrove forests, flood forests, rain forests and scrub forests on dunes) and their agricultural replacement systems on the central coastal plain of Veracruz, Mexico

82,080504,317590,922
470,682

MyanmarCapacity building for developing REDD+ activities in the context of sustainable forest management571,890

Peru

Sustainable forest management and utilization of ecosystem services in forests managed by the Ese'ejanative community in Infierno, Peru

356,51984

Code
RED-PD033/11
Rev.3 (F)
RED-PD031/11
Rev.1 (F)RED-SPD092/12
Rev.1 (F)Country

Title

ITTO Funding

Peru

Value adding to environmental services from managed forests belonging to seven communities in the
Ucayali region

415,384

Togo

Rehabilitation and restoration of residual forests and arid savanna lands in the Akpé and Akama valleys

478,894

Togo

Reducing deforestation and forest degradation in the Natchambonga and Djiyega community forests bypromoting participatory forest

149,904

Sub Total

16 projects

4,705,466

Grand Total

29 projects

8,933,512

85

ANNEX 3 ASSESSMENT DESCRIPTORSTFLET descriptor

Value

ID
Committee
Status1=Completed, 2=Operational

Country
Region1 = Africa, 2 = Asia, 3 = Latin America, 4 = Consumer countries, 5=ITTO

Phase

0= Pre-project, 1 = No phasing, 2= Phase

Planned duration

monthsStart-up dateCompletion date
Actual duration

monthsFunding
Problem area

0 = ITTO, 1 = Other 1, 2 = Other 2, 3= Other 3, 4 = Total

Silent acceptability of illegal forest operation

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

Corruption

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

Distorted economic incentives

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

Excessive harvesting and industrial capacity

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

Limited or no market incentives for legality and SFM

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

Transboundary trafficking
Weak participation of SMEs and community forests in SFM
and trade0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

Lack of advanced technologies for monitoring and control

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

PovertyLack of public pressure to tackle illegal logging/ lack oftransparency and accountability in policy implementation

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

Policy failures and inadequate legislation

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

High transaction cost of legal compliance

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

Weak institutional capacity

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

Markets for illegal products

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

Weak international/ regional cooperation

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

86

TFLET descriptor

Value

Weak supervision and control of trade
Lack of stakeholder capacity and implement SFM/ supply
chain control

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

Inadequate information on forests, markets and technology
Project specific objectives

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

Forest compliance and governance0=no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

Transparency

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

Capacity

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

Cooperation

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area
1= Enterprise, economic unit, 2= country, 3 = regional/sub-regional , 4 =international

Implementation level0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

Project type
Institutional strengthening

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

Policy analysis/development

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

Market transparency/development

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

Capacity building

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

Pilot project local level0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

Tracking and certification

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

Stakeholder participation

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

Communication

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

Other
Programme strategy area covered

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

Law Compliance and Governance

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

Production and Marketing

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

CPEs and other SMEs

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

International cooperation
Target groups

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

Communities
Indigenous group0= no coverage, 1= minor but indicated indirect, 2= direct minor indicated,
3=main beneficiary
0= no coverage, 1= minor but indicated indirect, 2= direct minor indicated,
3=main beneficiary87

TFLET descriptor
SMEs
Forest Industry
Government
Private Sector
Civil Society
Institution
Other
Type of executing agency

Value
0= no coverage, 1= minor but indicated indirect, 2= direct minor indicated,
3=main beneficiary
0= no coverage, 1= minor but indicated indirect, 2= direct minor indicated,
3=main beneficiary
0= no coverage, 1= minor but indicated indirect, 2= direct minor indicated,
3=main beneficiary
0= no coverage, 1= minor but indicated indirect, 2= direct minor indicated,
3=main beneficiary
0= no coverage, 1= minor but indicated indirect, 2= direct minor indicated,
3=main beneficiary
0= no coverage, 1= minor but indicated indirect, 2= direct minor indicated,
3=main beneficiary
0= no coverage, 1= minor but indicated indirect, 2= direct minor indicated,
3=main beneficiary
1= Forest dependent communities, 2 = Indigenous groups, 3 = SMEs, 4 =Forest industry, 5 = Government agencies, 6 =Private sector, 7 =Civil society, 8 = Knowledge institution, 9 = Other

Partnerships
Government
Civil Society
Knowledge institution
Risks and risk management

0 = Not involved, 1 = Financing, 2 = Implementation, 3 = Consultation, 4 =Other
0 = Not involved, 1 = Financing, 2 = Implementation, 3 = Consultation, 4 =Other
0 = Not involved, 1 = Financing, 2 = Implementation, 3 = Consultation, 4 =OtherPolitical

0 = not mentioned, 1 = mentioned but not significant, 2 = significant

Vested interests

0 = not mentioned, 1 = mentioned but not significant, 2 = significant

Market0 = not mentioned, 1 = mentioned but not significant, 2 = significant

Cross-border cooperation

0 = not mentioned, 1 = mentioned but not significant, 2 = significant

Proposal origin

0 = not mentioned, 1 = mentioned but not significant, 2 = significant

Operational cooperation

0 = not mentioned, 1 = mentioned but not significant, 2 = significant

Financing

0 = not mentioned, 1 = mentioned but not significant, 2 = significant

Other
Expected impacts/benefits

0 = not mentioned, 1 = mentioned but not significant, 2 = significant

Economic

0 = not mentioned, 1 = mentioned but not significant, 2 = significant
88

TFLET descriptor

Value

Gender0 = not mentioned, 1 = mentioned but not significant, 2 = significant

Social0 = not mentioned, 1 = mentioned but not significant, 2 = significant

Environmental

0 = not mentioned, 1 = mentioned but not significant, 2 = significant

Performance
Executing agency

0 = major problem, 1 = minor problems, 2 = goodPartners

0 = major problem, 1 = minor problems, 2 = goodITTO

0 = major problem, 1 = minor problems, 2 = good
0 = none, 1= applicable in similar conditions , 2 = applicable at national level, 3 = regional/Int'l level ,4 = all levels
0 = none, 1= replicable in similar conditions , 2 = replicable with modifications
0= no element, 1= existing technology in new application/conditions, 2=
adapted new technology, 3= new innovation
0 = not sustainable, 1 = sustainable with continuous financing, 2 = somelikelihood, 3 = strong likelihood

Applicability
Replicability
Innovation content
Sustainability
Necessary follow-up action

0 = no action, 1 = follow-up project, 2 = policy revision, 3 = other89

REDDES Descriptor

Value

ID
Committee
Country
Region1 = Africa, 2 = Asia, 3 = Latin America, 4 = Consumer countries, 5 = All producer
countries

Phase

0= Pre-project, 1 = No phasing, 2 = Phase

Planned Duration

monthsStart up dateCompletion
Actual Duration

monthsFunding
Problem area addressed
Inappropriate policies legislation and institutionalframeworks

0 = ITTO, 1 = Other 1, 2 = Other 2, 3= Other 3, 4 = Total

Lack of investment in SFM and restoration
Inadequate capacity to make informed decisions onmaintenance of environmental services

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

Lack of trained human resources
Lack of awareness of, and access to, appropriatetechnology

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

Poverty among forest- dependent communities
Lack of awareness on policy failures and best practice0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

Insecure land/ forest tenure
Lack of financing mechanisms for forest environmental services
Lack of assessment and monitoring of forest resources
Lack of education and training in SFM, restoration
and rehabilitation
Lack of appropriate technology and adequate
knowledge

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area
0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area
0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area
0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

90

REDDES Descriptor

Value

Project specific objectives
1. Reduce unplanned deforestation
2. Reduce forest degradation;

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area
0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

3. Maintain and enhance climate change mitigationand other environmental services of tropical forests;

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

4. Contribute to the social and economic sustainability and well-being of forest-dependent communities
by increasing forest values through forest restoration
and rehabilitation, as well as payments for forestbased environmental services;0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

5. Enhance adaptation and resilience of tropical forests to negative effects of climate change and human-induced impacts.

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

Level of implementation

1 = enterprise, economic unit, 2 = country, 3 = regional/sub-regional , 4 = international

Project type
Institutional strengthening

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

Policy analysis/development

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

Pilot project local level0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

Capacity building

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

Carbon0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

Biodiversity

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

Water

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

Stakeholder participation

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

Dissemination

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

Other
Programme strategy area covered

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

1. Assessment & diagnosis

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area
91

REDDES Descriptor

Value

2. Enabling conditions/capacity building

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

3. Demonstration

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

4. Scaling up/dissemination
Target groups

0= no coverage, 1= minor coverage, 2= substantial coverage, 3=focus area

Communities
Indigenous groups
Forest owners and managers
Policy makers
Government
Private sector
Civil society
Knowledge institutions
Other
Type of Executing Agency

0= no coverage, 1= minor but indicated indirect, 2= direct minor indicated,
3=main beneficiary
0= no coverage, 1= minor but indicated indirect, 2= direct minor indicated,
3=main beneficiary
0= no coverage, 1= minor but indicated indirect, 2= direct minor indicated,
3=main beneficiary
0= no coverage, 1= minor but indicated indirect, 2= direct minor indicated,
3=main beneficiary
0= no coverage, 1= minor but indicated indirect, 2= direct minor indicated,
3=main beneficiary
0= no coverage, 1= minor but indicated indirect, 2= direct minor indicated,
3=main beneficiary
0= no coverage, 1= minor but indicated indirect, 2= direct minor indicated,
3=main beneficiary
0= no coverage, 1= minor but indicated indirect, 2= direct minor indicated,
3=main beneficiary
0= no coverage, 1= minor but indicated indirect, 2= direct minor indicated,
3=main beneficiary
0=ITTO, 1 = Forest dependent communities, 2 = Indigenous groups, 3 = SMEs,
4 = Forest industry, 5 = Government agencies, 6 =Private sector, 7 =Civil society, 8 = Knowledge institution, 9 = Other

Partnerships
Government

1 = Financing, 2 = Implementation, 3 = Consultation, 4 = Other

Civil Society

1 = Financing, 2 = Implementation, 3 = Consultation, 4 = Other

Institution
Risks and risk management

1 = Financing, 2 = Implementation, 3 = Consultation, 4 = Other

Political/gov’t decision making

0 = not mentioned, 1 = mentioned but not significant, 2 = significant

Economic incentives

0 = not mentioned, 1 = mentioned but not significant, 2 = significant

Forest conversion

0 = not mentioned, 1 = mentioned but not significant, 2 = significant

Cross-border cooperation

0 = not mentioned, 1 = mentioned but not significant, 2 = significant

Proposal origin

0 = not mentioned, 1 = mentioned but not significant, 2 = significant
92

REDDES Descriptor

Value

Operational cooperation

0 = not mentioned, 1 = mentioned but not significant, 2 = significant

Financing

0 = not mentioned, 1 = mentioned but not significant, 2 = significant

Other
Expected impacts/benefits

0 = not mentioned, 1 = mentioned but not significant, 2 = significant

Economic

0 = not mentioned, 1 = mentioned but not significant, 2 = significant

Gender0 = not mentioned, 1 = mentioned but not significant, 2 = significant

Social0 = not mentioned, 1 = mentioned but not significant, 2 = significant

Environmental

0 = not mentioned, 1 = mentioned but not significant, 2 = significant

Carbon/climate

0 = not mentioned, 1 = mentioned but not significant, 2 = significant

Biodiversity

0 = not mentioned, 1 = mentioned but not significant, 2 = significant

Water
Performance

0 = not mentioned, 1 = mentioned but not significant, 2 = significant

Executing agency

0 = major problem, 1 = minor problems, 2 = goodPartners

0 = major problem, 1 = minor problems, 2 = goodITTO

0 = major problem, 1 = minor problems, 2 = good
0 = none, 1= applicable in similar conditions , 2 = applicable at national level, 3 =regional/Int'l level ,4 = all levels

Applicability
Replicability
Innovation content
Sustainability
Necessary follow-up action

0 = none, 1= replicable in similar conditions , 2 = replicable with modifications
0= no element, 1= existing technology in new application/conditions, 2= adapted
new technology, 3= new innovation
0 = Not sustainable, 1 = sustainable with continuous financing, 2 = some likelihood, 3 = strong likelihood
0 = No action, 1 = follow-up project, 2 = policy revision, 3 = other93

ANNEX 4 TECHNICAL REPORTS PRODUCED BY TFLET AND REDDES THEMATIC PROGRAMMESTP Programme

PD numberTechnical report title

TFLET

TFL-SPD 007/09 Rev.1 (M)Wood Tracking Manual of Procedure for Small-Medium Enterprises

TFLET

TFL-SPD 007/09 Rev.1 (M)Wood Tracking System Implementation Project in Ghana

TFLET

TFL-PPD 01/09 Rev.2 (M)Draft Project Proposal: Implementar y fomentar el manejo forestal sostenible mediante la aplicaciónde la legislación y la gobernanza forestal en Colombia

TFLET

TFL-PD 010/09 Rev.1 (M)Report on Training Evaluation (Impact of Training for Understanding TLVS in 3 Groups of Participantsin Java)

TFLET

TFL-PD 010/09 Rev.1 (M)Partnership Dialogue in Community-Based Forest Enterpreneurship in West Java and Central
Java (Bandung and Jepara)

TFLET

TFL-PD 010/09 Rev.1 (M)Activity Report - Dissemination of Information on the New Standard of TLAS in Java

TFLET

TFL-PD 010/09 Rev.1 (M)Activity Report - Technical Assistance for Implementing SVLK on Community based Forest
Managements (CBFMs) in East Java, Central, and West Java

TFLET

TFL-PD 010/09 Rev.1 (M)Activity Report - National Workshop - Preliminaries of TLAS Implementation for Community Forest in Java

TFLET

TFL-PD 010/09 Rev.1 (M)Activity Report - Independent Institution for Monitoring Implementation of TLAS for Timber Resource from
Community Forests and Community Plantation Forests Assessed and Proposed

TFLET

TFL-PD 010/09 Rev.1 (M)Activity Report - Develop One Package Protocols/Guidelines To Monitor The TLAS Implementation
Conducted by Independent Civil Society

TFLET

TFL-PD 010/09 Rev.1 (M)Report of Training Curriculum Development (Understanding TLAS in Community Forest)

TFLET

TFL-PD 010/09 Rev.1 (M)Preparing Forest Farmers Readiness to Implement TLAS in Java
(Training on TLAS Understanding in Community Forest in Java for Forest Farmers Group)

TFLET

TFL-PD 010/09 Rev.1 (M)Report of Training on Understanding Timber Legality Assurance system (TLAS) For Timber Processing
Industry with Source of Raw Materials from the Privately Owned Community Forest/Community Land in
Java

TFLET

TFL-PD 010/09 Rev.1 (M)Preparing Government Readiness to Implement TLAS - Training on System of Timber Legality Verification (TLVS/TLAS) for Government Group and Other Sectors in Java

TFLET

TFL-PD 024/10 Rev.2 (M)Ley Forestal Decreto Legislativo Numero 101-96

TFLET

TFL-PD 024/10 Rev.2 (M)Manual de Lineamientos para el Manejo Integral de los Bosques Comunitarios

TFLET

TFL-PD 024/10 Rev.2 (M)Reglamento para la Fiscalización de Empresas Forestales

94

TP Programme

PD numberTechnical report title

TFLET

TFL-PD 024/10 Rev.2 (M)Reglamento para el Transporte de Productos Forestales y su Procedencia Lícita

TFLET

TFL-PD 024/10 Rev.2 (M)Revisión de la Normativa Forestal relacionada con la Prevención y Reducción de la Tala Ilegal en Guatemala

TFLET

TFL-PD 024/10 Rev.2 (M)Formulación de los reglamentos de auditoría y transporte

TFLET

TFL-PD 019/10 Rev.2 (M)Enhancing Stakeholders Commitment to an Effective Management of Cibodas Biosphere Reserve

TFLET

TFL-PD 019/10 Rev.2 (M)Developing and Adopting an Integrated Strategic Management Plan for Cibodas Biosphere Reserve

TFLET

TFL-PD 019/10 Rev.2 (M)Promoting Community Awareness on the Conservation and Sustainable Use of Biodiversity and Environmental Services to Enhance Forest Law Enforcement and Governance

TFLET

TFL-SPD 030/12 Rev.1 (M)Capacitación sobre instrumentsos de negociación con Terceros de las comunidadesindigenas, enla Provincia de Atalaya - Perú

TFLET

TFL-SPD 030/12 Rev.1 (M)Taller de capacitación sobre herramientas prácticas de valorización de los recursos aprovechables en losbosques de las comunidades indígenas

TFLET

TFL-SPD 030/12 Rev.1 (M)Manual Práctico de Censos Forestales

TFLET

TFL-SPD 030/12 Rev.1 (M)Manual Práctico de Cubicacion de Madera Rolliza-Aserrada

TFLET

TFL-SPD 030/12 Rev.1 (M)Manual Práctico de Inventarios Forestales

TFLET

TFL-SPD 030/12 Rev.1 (M)Manual Práctico de Servicios Ambientales

TFLET

TFL-SPD 030/12 Rev.1 (M)Manual Práctico de Zonificacion y Mapeo Comunal

TFLET

TFL-SPD 028/12 Rev.1 (M)Training on Legality and Sustainability along the Timber Supply Chain for Civil Society Organization in
Ghana

TFLET

TFL-SPD 028/12 Rev.1 (M)Conduct of Training on the Use of Modern Tools of Engagement for Civil Society Organization in Ghana

REDDES

RED-PD 026/09 Rev.1 (F)Economic Evaluation-Ankasa

REDDES

RED-PD 018/09 Rev.1 (F)Estimación de la deforestación no planificada en el escenario de linea base

REDDES

RED-PD 018/09 Rev.1 (F)Diagnostico del Uso, Impacto y Actores Involucrados con la Gestión de los Recursos Naturales delBosque de la Comunidad Nativa de Infierno

REDDES

RED-PD 018/09 Rev.1 (F)Estimación del carbono almacenado en la biomasa del bosque de la comunidad nativa Ese’Es ja de infierno – Madre de Dios, Perú

REDDES

RED-PD 018/09 Rev.1 (F)Estudio Socioeconómico de la Comunidad Nativa de Infierno

REDDES

RED-PD 018/09 Rev.1 (F)Guía de campo para la estimación del carbono almacenado en la biomasa de los bosques administrados
por la comunidad nativa Ese’Eja de Infierno y su concesión de ecoturismo en la region Madre de Dios

95

TP Programme

PD numberTechnical report title

REDDES

RED-PD 018/09 Rev.1 (F)Informe Topográfico Legal de la Comunidad Nativa Ese'Eja Infierno Puerto Maldonado - Madre de Dios

REDDES

RED-PD 018/09 Rev.1 (F)Estudo legal para ratificar y mantener los derechos legales de uso de los recursos del bosque en elterritorio comunal y en la concesión de ecoturismo de la comunidad nativa de Infiermo

REDDES

RED-PD 018/09 Rev.1 (F)Estimacion de los cambios en el carbono almacenado y emisiones de gases efecto invernadero producidas
por deforestacion no planificada en escenariio de linea base de la comunidad nativa de Infierno – Región
Madre de Dios

REDDES

RED-PD 018/09 Rev.1 (F)Evio Kuiñaji Ese´Eja Cuana, Para Mitigar el Cambio Climático, Madre de Dios - Perú

REDDES

RED-PD 018/09 Rev.1 (F)Documento de Diseño del Proyecto (PDD) bajo los estándares de la Alianza para el Clima, Comunidad y
Biodiversidad (CCBA)REDDES

RED-PD 018/09 Rev.1 (F)Plan de accion para la gestión del bosque de la comunidad de Infiermo

REDDES

RED-PD 018/09 Rev.1 (F)Monitoring Report for the Project Evio Kuiñaji Ese’Eja Cuana, to Mitigate Climate Change, Madre de Dios
- Perú

REDDES

RED-PD 007/09 Rev.2 (F)Analysis on Economic Incentive Framework of SFM as important option for forest-based climate change
mitigation to reduce emission from and by tropical forest

REDDES

RED-PD 007/09 Rev.2 (F)Develop Forest Carbon Standard and Carbon Accounting System for Smallscale Plantation based on Local Experiences

REDDES

RED-PD 007/09 Rev.2 (F)Draft National Strategy on Enhancing and Maintaining Forest Carbon Stock through Sustainable Forest
Management Activities: A Strategic Assessment

REDDES

RED-PD 007/09 Rev.2 (F)Review for Existing Sustainable Forest Management (SFM)-Based Project in Indonesia

REDDES

RED-PD 007/09 Rev.2 (F)Pengembangan Standar Fenghitungan Karbon Hutan Tanaman Skala Kecil Berdasarkan Pengalaman
Lokal

REDDES

RED-PD 007/09 Rev.2 (F)Reports on International Meeting on Forest-based Climate Change Policies and Action Plans in Indonesia

REDDES

RED-PD 007/09 Rev.2 (F)Review infrastructure framework and mechanism related to SFM as important option in reducing emission
from deforestation and forest degradation

REDDES

RED-PD 007/09 Rev.2 (F)SFM, Forest based Carbon, Carbon stock, CO 2 sequestration and Green products in order to reduce
emissionsfrom deforestation and forest degradation

REDDES

RED-PD 007/09 Rev.2 (F)Study and analyze regulations concerning sustainable forest management, forest based carbon, C stock,
CO 2 sequestration and green product

REDDES

RED-PD 007/09 Rev.2 (F)Telaah kerangka infrastruktur dan mekanisme pengelolaan hutan berkelanjutan (SFM) sebagai opsi penting dalam penurunan emisi dari deforestasi dan degradasi hutan (REDD)

96

TP Programme

PD numberTechnical report title

REDDES

RED-PD 005/09 Rev.2 (F)Guyana's Forest Resources & Environmental Services

REDDES

RED-PD 005/09 Rev.2 (F)REDDES Monitoring - Guyana's National Forest Estate Model

REDDES

RED-PD 005/09 Rev.2 (F)Report on Requirements necessary for Guyana to Access Identified payments for Ecosystems services
Markets

REDDES

RED-SPD 020/09 Rev.1 (F)Study on Payments for Environmental Services (PES) of Natural Production Forests (NPFs) in Hainan
Province, China

REDDES

RED-PD 064/11 Rev.2 (F)Preparation of Baseline Data of Mangrove Ecosysem Management in Bintan Island

REDDES

RED-PD 064/11 Rev.2 (F)Activity Report-Review and Policy Analysis on Community-Based Mangrove Ecosystem Management in
Nin and District

REDDES

RED-PD 064/11 Rev.2 (F)Study on Socio-Economic Community-Based Mangrove Ecosystem Management at Bin and RegencyRian Islands Province

REDDES

RED-PD 064/11 Rev.2 (F)Training of Strengthening the Community Institutional Capacity in Mangrove Ecosystem Management in
Bintan District (Five Fingers Management System)

REDDES

RED-PD 045/11 Rev.2 (M)Valoración del servicio ambiental de provisión de los recursos naturales de un potrero derivado de selvapalmar inundable, en Jamapa, Veracruz

REDDES

RED-PD 045/11 Rev.2 (M)Evaluación ambiental y valoración económica de los servicios ecosistémicos proporcionados por losbosques costeros (manglares, selvas inundables, selvas y matorrales sobre dunas) y sus agro‐sistemas
de reemplazo, en la planicie costera central de Veracruz, México

REDDES

RED-PD 038/11 Rev.3 (F)Proceedings of the inception Workshop on Capacity Building for Developing REDD-Plus Activities in thecontext of sustainable Forest Management

REDDES

RED-PD 033/11 Rev.3 (F)Diagnostico social economico en dos comunidades Cacataibo

REDDES

RED-PD 033/11 Rev.3 (F)Diagnostico social economico en cinco comunidades Shipibo – Conibo

REDDES

RED-PD 033/11 Rev.3 (F)Diagnostico sobre las necesidades de capacitacion recursos maderables y no maderables de 07 comunidades nativas de la Region de Ucayali

REDDES

RED-PD 033/11 Rev.3 (F)Estimación del carbono almacenado en la biomasa del bosque de las comunidades nativas de Calleria,
Flor de Ucayali, Buenos Aires, Curiaca, Pueblo Nuevo del Caco y Puerto Nuevo, en la region de Ucayali– Perú

REDDES

RED-PD 033/11 Rev.3 (F)Estudio de estratification de los bosques del area del proyecto

REDDES

RED-PD 033/11 Rev.3 (F)Estimatión del carbono almacenado en la biomasa del bosque de la comunidades nativas de Calleria,
Flor de Ucayali, Buenos Aires, Roya, Curiaca, Pueblo Nuevo del Caco y Puerto en la region de Ucayali Perú97

TP Programme

PD numberTechnical report title

REDDES

RED-PD 033/11 Rev.3 (F)Guia de Aprendizaje Fortalecimiento Organizacional-Tema I Cultura Organizacional

REDDES

RED-PD 033/11 Rev.3 (F)Guia de Aprendizaje Fortalecimiento Organizacional - Tema IV Gestion de Conflictos Organizacionales

REDDES

RED-PD 033/11 Rev.3 (F)Guia de Aprendizaje Fortalecimiento Organizacional-Tema III Gobernanza Local

REDDES

RED-PD 033/11 Rev.3 (F)Guia de Aprendizaje Fortalecimiento Organizacional-Tema II Liderazgo Organizacional

REDDES

RED-PD 033/11 Rev.3 (F)Informe de Implementacion sobre Campañas de Sensibilizacion Comunal

REDDES

RED-PD 033/11 Rev.3 (F)Linea base social para el proyecto REDD y evaluación de impactos

REDDES

RED-PD 033/11 Rev.3 (F)Marco logico para el proyecto REDD

REDDES

RED-PD 033/11 Rev.3 (F)Plan de Capacitación de Recursos Maderables y no Maderables en 07 Comunidades Nativas de la Region Ucayali

REDDES

RED-PD 033/11 Rev.3 (F)Plan de capacitación sobre REDD

REDDES

RED-PD 033/11 Rev.3 (F)Plan de campañas de sensibilización comunal sobre la importancia del bosque

REDDES

RED-PD 033/11 Rev.3 (F)Proyecto-Puesta en valor de los servicios ambientales en bosques manejados de 07 comunidades nativas de la region Ucayali

REDDES

RED-PA 056/11 Rev.1 (F)Workshop Report – District Level Stakeholders Engagement on REDDES Implementation Strategies in
Ghana

REDDES

RED-PA 056/11 Rev.1 (F)Collaborative participation to fight forest resource degradation in the Dimako District, Cameroon

REDDES

RED-PA 056/11 Rev.1 (F)Collaborative participation to fight forest resource degradation in the Offinso District, Ghana

REDDES

RED-PA 056/11 Rev.1 (F)Collaborative participation to fight forest degradation in the Yorma National Forest

REDDES

RED-PA 056/11 Rev.1 (F)Collaborative participation to fight forest degradation and deforestation in the Akure Forest Reserve(AFR), Nigeria

REDDES

RED-PA 056/11 Rev.1 (F)Assessments on socio-economic, ecological and institutional issues in the pilot site in Cameroon

REDDES

RED-PA 056/11 Rev.1 (F)Report of Stakeholders Meeting on Specific Strategies to Control Deforestation and Forest Degradationand Enhancing Environmental Services Held at Owena, Ondo State, Nigeria

REDDES

RED-PPD 074/12 Rev.1 (F)Project Proposal-Projet de prise en compte du Genre dans le développement des actions de lutte contre
le déboisement et la dégradation des forêts, ainsi que l’amélioration du bien-être des communautés tributaires des forêts et des autres écosystèmes en Afrique Centrale

REDDES

RED-PPD 074/12 Rev.1 (F)État des lieux relatif au genre dans le déboisement et la dégradation des forêts en République Centrafricaine

REDDES

RED-PPD 074/12 Rev.1 (F)État des lieux relatif au genre dans le déboisement et la dégradation des forêts au Cameroun98

TP Programme

PD numberTechnical report title

REDDES

RED-PPD 074/12 Rev.1 (F)État des lieux relatif au genre dans le déboisement et la dégradation des forêts au Gabon

REDDES

RED-PPD 074/12 Rev.1 (F)The Role of Women in Deforestation and Forest Degradation in Liberia: A case study of women’s perception in Gbarpolu County

REDDES

RED-PPD 074/12 Rev.1 (F)Les questions de genre dans la gouvernance forestière et contributions des femmes au déboisement et àla dégradation des forêts en Afrique du Centre et de l’Ouest. Rapport de synthèse des études réaliséesau Cameroun, Gabon, Liberia et RCA.

REDDES

RED-PD 093/12 Rev.3 (F)A Guide to Implementing REDD+ in Ghana: Criteria and modalities for developing a REDD+ project

REDDES

RED-PD 093/12 Rev.3 (F)Policy Brief: Considering Carbon Rights in Ghana: A Review of Natural Resource Management Governance Structures and Implications for Defining Carbon Assets and Sharing Benefits

REDDES

RED-PD 093/12 Rev.3 (F)Land use systems in Ghana's Central Region and their potential for REDD+

REDDES

RED-PD 093/12 Rev.3 (F)Report on Financial Viability and Benefit Sharing Options of the Bedum and Nkoranzaman REDD+ Pilot
Projects

REDDES

RED-PD 093/12 Rev.3 (F)Field Report Shea Pilot Project – North Kintampo District

REDDES

RED-PD 093/12 Rev.3 (F)Potential REDD+ Project Types in Off-Reserve Areas, Agroforests and Secondary Forests in Various
Ecological Zones of Ghana

REDDES

RED-PD 093/12 Rev.3 (F)Analyses of potential livelihood outcomes, farming practices and conflicts in natural resource use under a
REDD+ implementation in Ghana

REDDES

RED-PD 093/12 Rev.3 (F)Analyses of incentive mechanisms for rewarding rural farming communities to adopt sustainable land use
practices under a REDD+ implementation in forest and savanna transitional zones, Ghana

REDDES

RED-PD 093/12 Rev.3 (F)Draft Training Workshop Report - Capacity building for community groups about the potential of forest/tree protection

REDDES

RED-PD 093/12 Rev.3 (F)Activity 2.3 Development of options for incentive mechanisms that reward farmers and rural communities
for adopting sustainable land use practices

REDDES

RED-PD 093/12 Rev.3 (F)Activity 2.1: Study the potential effects of REDD+ implementation on local peoples existing land use practices and their control over natural resources / Project Monitoring Mission and the Second PTC meeting /Preparations for Activity 3.2 (Workshops for the sharing of results and conclusions of analytical studies)and Activity 3.3 (Publication of studies results and dissemination through ITTO)

REDDES

RED-PD 093/12 Rev.3 (F)Potential REDD Project Types in off-Reserve Areas

REDDES

RED-PD 093/12 Rev.3 (F)Activity 3.1 Capacity building for community groups about the potential of forest/tree protection /Activity 3.2 Workshops for the sharing of results and conclusions of analytical studies / Activity 3.3 Publication of studies results and dissemination through ITTO

REDDES

RED-PD 093/12 Rev.3 (F)REDD+ in agricultural landscapes: evidence from Ghana’s REDD+ process
99

ANNEX 5 LEVEL OF ACHIEVEMENT OF THE TFLET THEMATIC PROGRAMME IN RELATION TO THE TARGETS OF THE MONITORING PROTOCOLSpecific
tive

Objec-

a) Strengthen
forest law compliance and governance through improved national
policy and legal
frameworks,
strengthened enforcement andother institutions,improved data
and knowledge,
strengthened
partnerships andimproved cooperation among theprivate sector,
civil society organizations andother stakeholders

Output Indicator

Target value

Level of achievement

Means of Verification

Comment

Laws and legal instruments on tenure anduser rights established,reviewed or improved

5 countries

4 countries in process

Improved laws and regulations published in the national gazette (whereapplicable)

No information on publication in
the national gazettes

11 countries established orin process

Evidence on establishment of committees
Reports of Multi-stakeholder committees

PCRs, project documents of ongoing projects

4 countries prepared2 countries in process of
implementation

Evidence on approval of National
Action Plans
Periodic reports on implementationof National Action Plans
Number of personnel trained in forest law enforcement
Evidence on establishment of LEU
Law Enforcement Units operational

Plan documents, PCRs

Reports on studies
Database(s) on interventions onforest crime, illegal logging andtrade

Study reports, PCRs

Reconciliation mechanism established and related reports

No reconciliation mechanisms
reported

5 countries

Report on the implementation of thesystems, certification of verificationof legality, chain of custody certification reports

Technical reports, PCRs

1 global analysis

Compendium of tracking and tracing

ITTO dissemination records

Establishment and operation of multistakeholder consultation mechanism
National Action Plan
formulated and under
implementation
Establishment andstrengthening of law
enforcement units

4 countries

National studies on timber flows carried out

4 countries

Reconciliation mechanism for resolving trade
flow discrepancies
Cost-effective and nonpaper based timbertracking systems developed and implemented
Compendium on tracking and tracing technologies prepared

Compendium

100Specific
tive

Objec-b) Improve transparency and effective management of supply
chains and increased domestic
and international
trade in legally
produced tropicaltimberOutput Indicator

Target value

Level of achievement

Means of Verification

Comment

4 projects produced review
of existing and applicabletechnologies

technologies and evidence on dissemination

PCRs, technical reports

PCRs, technical reports
Numbers have not bee recorded

Increased volumes oftraded tropical timber
and timber products
from legal and sustainable sources

TBD

Trade volumes cannot be
assessed
11 projects in 9 countries
targeted at this output indicator

Number of Certificates of COC, legality, etc.

Development of procurement policies in
ITTO producing countries

5 countries

Preliminary work in one
country

Number of countries with public
procurement policies and legislation
formulated and/or implemented

Public timber procurement policies and legislation formulated and/or
under implementation

5 countries

Related preparatory work infour countries

Dissemination of public timber procurement policies in producer countries
Increased trade volumes of tropicaltimber and timber products

At least 3 ITTO producing countries have relevant procurement
policies

5 partnerships

At least 16 countries
through formal arrangements
Most projects have at least
informal arrangements

Progress/Completion Reports;
MOUs of partnerships

PCRs

7 countries, 13 projects

Number of training modules
Reports on training programmes
Participants evaluation reports

PCRs, training reports

2 countries

Reports on the implementation of
Codes of Conduct adopted

PCRs, no reports available on
implementation

Civil society / private
sector / governmental
agency partnerships
established

Training courses onforest law complianceimplemented

Codes of conduct fromthe private sector)
5 Codes ofConduct

101

Specific
tive

Objec-c) Improve capacity of communityand small andmedium-sizedenterprises toimplement anddemonstrate thattimber produced
and traded comesfrom legal
sources contributing to sustainable livelihoodsd) Improve international cooperation in forest law
enforcement andgovernanceamong ITTO
member countries
and other related
international initiatives

Output Indicator

Target value

Level of achievement

Means of Verification

Comment

Value and volume oftimber produced andtraded by forest dependant and local
communities

5 communities

Not measurable

Production and Trading records
from the communities

Community level records on
products and sales are not available

Relevant training modules developed anddisseminated in forest
communities

5 communities

Value and volume oftimber traded by SMEs

5 SMEsRelevant training modules developed anddisseminated to SMEs

5 SMEsIncreased number ofregistered SMEs

Percentage
increase

Increase in the numberof ITTO member countries participating in international and regional
initiatives to improveforest law enforcement
and governance

TBD

Increase of ITTO member countries in transboundary timber control
processes
Increased number of
ITTO member countries
engaged in regional andinternational coopera-

Certification of community based
SFM
Training modules, reports on training

PCRs, project documents, technical reports, training reports

Production and Trading records
from the SMEs

Records on products and sales
are not available at SME level

See above

Training modules, reports on training

Training modules were not differentiated between communities
and SMEs.

Not measurable
8 projects in process ofdeveloping registers
6 countries in FLEGT VPA
implementation process
and 8 countries in the negotiation process

Database on registered SMEs

PCRs, project documents

Reports of the international and regional initiatives

FLEGT websites
PCRs

No progress reported under
TFLET processes beyond
what has been done in national projects.

Number of bilateral initiatives onforest law enforcement

6 countries in FLEGT VPA
implementation process
and 8 countries in the nego-

Number of initiatives to facilitate
country engagement in regional
and international cooperation initia-

6 countries, 13 projects
provided training or in process for communities and
SMEs and developed training modules

See above102

Specific
tive

Objec-

Output Indicator

Target value

tion initiatives
FAO/ITTO best practices on forest law compliance policy briefs disseminatedInformation on timber
procurement and due
diligence requirements
disseminated

All ITTO
membercountries

Level of achievement

Means of Verification

Comment

tiation process

tives such as VPA/FLEGT etc.

Major dissemination activities completed

Distribution list of FAO/ITTO bestpractices on forest law compliancepolicy briefs

Distribution records

Information dissemination inconnection through a broad
range of actions on projectlevel

Due Diligence Report and reports
on dissemination mechanism

Distribution records

103

ANNEX 6 LEVEL OF ACHIEVEMENT OF THE REDDES THEMATIC PROGRAMME IN RELATION TO THE TARGETS OF THE MONITORING
PROTOCOL
Specific Objective
The specific objective of theProgramme is tostrengthen thecapacity of ITTO
developing
member countries and theirstakeholders to:a) Reduce unplanned deforestationb) Reduce forest
degradationc) Maintain andenhance climatechange mitigation and otherenvironmental
services of tropical forestsd) Contribute to
the social andeconomic sustainability andwell-being offorest-dependentcommunities by
increasing forest
values throughforest restoration

Output Indicator

Target Value

Level of achievement

Means of Verification

Comments

Increased area under SFM, restoration orconservation

6 countries (2per region)

19 projects in 16 countries completed or inprocess

Projects funded

PCRs, PDs

Reports on initiatives

Initiatives are part of project activities and as initiatives they are not necessarily reported.

Number of initiatives on avoided deforestation:
Delineated land and forest tenure anduser rights
Monitor forest cover and land-use change
Establishment of permanent forest estate

4 projects
9 projects in 8 countries
5 countries working inthis area

Number of initiatives addressing restoration:
Forest landscape restoration
Demonstration projects on restoration
Number of initiatives on conservation
Trans-boundary Conservation Area
(TBCA)
Buffer zone management
Revised/updated versions of ITTO guidelines and other relevant policy documents
incorporating new approaches on climatechange and environmental services
Increased income resulting from forestrelated environmental services and otherforest products by local communities ofparticipating countries

Increase of women participation in thecommunity forest-related environmental
services of participating countries

5 projects in 5 countries
8 projects in 7 countries
Several trans-boundary
conservation projects in
the regular project cycle

No projects in REDDES
1 projects specificallytargeted at buffer zones
2 guidelines/
policy documents reviewed/updat
ed
10% increase
from thebaseline information inincome in atleast 30
communities
Increase of
women participation in atleast 30

Completed by publication and dissemination of
two guideline documents
and one policy brief

New/updated versions of
ITTO guidelines

17 projects in 10 countries targeted at this output

Reports on the demographic and socioeconomic situation in thearea of influence of the
projects supported by
the Thematic Programme

Exact number of communities is not known
but is certainly morethan 30.
7 projects targeted specifically at this output
area, including throughThese activities were
implemented only partially through REDDES
support; mainly through
BWP
Increase is impossible toverify without detailed
baseline and ex postsocio-economic surveys
which are not available.

Most of the other projects of the total of XX inthis category also contributed to women partic104

and rehabilitation, as well as
payments forforest-based environmental servicese) Enhance adaptation and resilience of tropical forests tonegative effects
of climatechange and human-induced
impacts

communitiesof participating countries

Increased public awareness2 countries

Existence of appropriate methodology tovalue Environmental Services and ability
to apply

1 country

Increased forest value and market opportunities for forest products and services

2 countries

Incorporation of the value of forest environmental services in national accounting

National forest carbon assessment andmonitoring systems

National/regional studies conducted on
assessment of value of biodiversity onland with potential for biodiversity PES
schemes.
Assessment of national forest financestrategies

support women’sgroups, most of the otherprojects of the total of 17
in this category also contributed to women participation
In 12 countries awareness raising activities onforest values carried out
or in process through 17
projects
Valuation methodologies
were developed (or are
in process) in 8 countries
Values and market opportunities studied anddeveloped in 6 countries

ipationNumber of awarenesscampaigns at community/country level

Reports on appropriate
valuation and methodology available

Awareness raising activities can be through specific campaigns but typically as stakeholder
consultative meetings,
workshops and dissemination of information
PCRs, technical reports,
PDs

National accounting reports

This aspect was often
part of methodology orbackground studies on
PES

Reports on study on actual payments for environmental services

No project has workedon this area as yet

2 national forest carbon
inventories
supported by
the programme
3 studiesWork in 15 countries
contributed to this area,
in some cases in pilot
areas, all involved capacity building

National forest carbon
inventory reports

ITTO has previously
done benchmark reports
on some countries
At least two ITTO countries have reports in thisarea; not part of
REDDES projects
Inventory reports in the
Amazon Basin countries

National forest monitoring systems

PCRs, PDs, technicalreports

11 projects in 10 countries

Reports of the national/regional studies

Technical reports n national, sub-national andlocal levels
PCRs, PDs

1 country

At least 2 countries assessed bundling of envi-

Assessment reports

Work was part of broader PES scheme devel-

2 countries

105Increased area of community forest protected against fire, pest and disease
Improved silvicultural systems in community forests
National policy reforms and clear forest
and land tenure arrangements in place,
integrating climate change mitigation/adaptation and other environmental
services

30 communities

ronmental services
15 project in 10 countries worked or are inprocess in this area

Fire, pests and disease
incident reports

Project reports
Evidence on policy andlegislative reforms processes on forest andland tenure in at least
three countries coveredby the programme
Website and links to the
network; information
made available

opmentIncreased area cannot
be measured . The
number of communities
involved is likely to bemuch larger than 30
PCRs, PDs

3 countries
3 countries

6 countries
Capacity building for policy reforms and tenurearrangements carriedout or in process in 5
countries

Learning network on forest landscaperestoration focusing on benefits of environmental services

Establishmentof one global
network supported

No global REDDES network established
9 countries have national
networks

Information on REDDES results available
on ITTO website
PES incentive mechanisms developed orundergoing implementation

Regularly updated website
3 countries

Upgraded ITTO website
in operation
11 countries

Studies on the assessment of willingness
to pay for environmental services
Forestry stakeholders trained in the implementation of restoration and rehabilitation activities, PES schemes and the implementation of policy reforms and/or
land/forest tenure arrangements

3 studiesPart of PES studies

300 forestry
stakeholders
in 3 countries(100 each)

Estimated 2,900 stakeholders trained in
15 countries

Training Reports

National criteria and indicators for SFM,
forest restoration and rehabilitation developed

3 countries(one per region)

No work in this area

National C& I reports

Work is pending due tofuture revision of ITTO
C&I

Demonstration projects on community
involvement in avoided deforestation anddegradation, development of environmental services, SFM, restoration and rehabilitation of secondary and degraded forest
areas.

3 demonstration projects

17 projects in 11 countries

Project reports. Visit reports of demonstration
projects.

PCRs, PDs

Evidence on PES mechanisms developed orundergoing implementation
Reports

GPFRL already working
in this area with ITTO as
founding member

Not a specific REDDES
activity
PCRs, PDs

Relevant only for tourism
and recreation projects
PCRs, training reports106Communities trained and assisted in development and implementation of PES
mechanisms

Communitiesin 3 countries
trainedTraining carried out in 10
countries; specific reports available on 24
communities trained (thetrue figure is larger)

Report of the training
workshops

12 projects in 9 countries

Activity reports

Projects in 10 countries

Report of the multistakeholder partnerships
Workshop and training
Reports

Communities directly involved in PES
mechanisms developed and /or undergoing implementation with the support of the
programme
Participatory systematization of lessons
learnedCommunitiesin 3 countries
involved in
PES mechanism
30 communities(Sub-) National working groups

3 countries

12 countries

Forest dependent communities sensitizedon adaptation options to climate change.
Issues of the TFU and number of hits on
the ITTO website for the information
sharing and knowledge management systems

3 countries

See above

International seminar on REDDES toshare experiences and lessons learned

3 issues of
TFU (one peryear) andmore than
5,000 hits on
the ITTO web
page for
REDDES information
sharing
1 internationalseminar

Report of the establishment of network and theoperation of the website
including usage matrix

1 international conference organized on PES

Proceedings of the international seminar on
REDDES and PES.

Difficult to interpret theindicator

Usually part of sensitization on mitigation
ITTO publication anddissemination records

Policy brief, conference
report, TFU article

107

ANNEX 7 REGULAR CYCLE PROJECTS AND BWP ACTIVITIES WITH LINKAGE TO TFELT AND REDDES THEMATIC PROGRAMMESTP /Project code

Title

Country

Total ITTO

REDDESREDDES
Objectives

Financed projects
PD333/05 Rev.2 (I)PD337/05 Rev.3 (F)PD347/05 Rev.2 (I)PD349/05 Rev.2 (F)PD351/05 Rev.1(F)PD359/05 Rev.1 (F)PD360/05 Rev.1 (F)PD372/05 Rev.1 (F)PD376/05 Rev.2 (F,M)
PD383/05 Rev.2 (F)PD389/05 Rev.2 (F)PPD114/05 Rev.1 (F)PD392/06 Rev.2 (F)DEVELOPMENT AND DELIVERY OF A VOCATIONAL TRAINING PROGRAMME IN
REDUCED IMPACT LOGGING AND SUSTAINABLE FOREST MANAGEMENT PRACTICESIN GUYANAAN INTERNATIONAL WORKSHOP ON CLEAN DEVELOPMENT MECHANISM ?
OPPORTUNITIES AND CHALLENGES FOR THE FOREST INDUSTRY SECTOR IN SUBSAHARAN TROPICAL AFRICAPROMOTING ACCESS TO THE FOREST SECTOR ACTIVITIES BY GABONESENATIONALS THROUGH THE DEVELOPMENT OF THE SME FOREST PARTNERSHIPCRITERIA FOR THE MANAGEMENT OF MANGROVE AND FLOOD FORESTS IN THE
CENTRAL COASTAL PLAINS OF VERACRUZ, MEXICO: A COMMUNITY MANAGEMENTTOOLCRITERIA AND INDICATORS FOR THE EVALUATION OF TROPICAL FOREST
MANAGEMENT SUSTAINABILITY IN MEXICO (SOUTHEASTERN COASTAL PLAINS:
GULF OF MEXICO AND YUCATAN PENINSULA)BUILDING CAPACITY TO DEVELOP AND IMPLEMENT AFFORESTATION AND
REFORESTATION PROJECTS UNDER THE CLEAN DEVELOPMENT MECHANISM (ARCOM) OF THE KYOTO PROTOCOL IN TROPICAL FORESTRY SECTOR
MULTISPECTRAL THREE-DIMENSIONAL AERIAL DIGITAL IMAGERY FOR MONITORING
FOREST MANAGEMENT AND CONSERVATION IN THE REPUBLIC OF CONGOCONTRIBUTION TO FOREST REHABILITATION IN THAILAND’S AREAS AFFECTED BY
THE TUSNAMI DISASTER
TO DEVELOP AND PROMOTE A MONITORING INFORMATION SYSTEM TO SUPPORTTHE SUSTAINABLE DEVELOPMENT OF TREE RESOURCES OUTSIDE FOREST AT THE
SUB-DISTRICT LEVEL IN THAILAND
COMMUNITY FOREST DEVELOPMENT IN GABONAPPLICATION OF THE INTERNAL MONITORING OF SFM PERFORMANCE AT FOREST
MANAGEMENT UNIT LEVELDEMONSTRATION OF INTEGRATED MODELS FOR SUSTAINABLE MANAGEMENT OF
MANGROVE IN CHINA
PHASE I: REGIONAL PROJECT TO PROMOTE REDUCED IMPACT LOGGING IN THE
CONGO BASINGUYANA$361 897b

GHANA$279 160c

GABON$313 200d

MEXICO$387 296

a, b

MEXICO$514 653

a, b

JAPAN

$942 166c

CONGO$610 000a, b

THAILAND$790 020

a, b

THAILAND$462 645

a, b

GABON

$594 432d

INDONESIA$381 888

a, b

CHINA

$74 088

a, b

GABON

$950 087b

108

TP /Project code

Title

Country

Total ITTO

REDDESREDDES
Objectives

Financed projects
PD393/06 Rev.1 (F)PD394/06 Rev.1 (F)PD405/06 Rev.3 (F)PD423/06 Rev.2 (F)PD426/06 Rev.1 (F)PD428/06 Rev.2 (F)PD432/06 Rev.2 (F)PD438/06 Rev.2 (F)PPD124/06 Rev.2 (F)PPD125/06 Rev.2 (I)PPD129/06 Rev.1 (F)PPD130/06 Rev.1 (F)PD441/07 Rev.2 (F)PD450/07 Rev.2 (F,I)
PD451/07 Rev.1 (F)PD454/07 Rev.3 (F)VILLAGE-LEVEL REFORESTATION PLUS NUTRITION PROMOTION BY SELFMOTIVATED COMMUNITY WOMEN’S GROUPSRESTORING THE ECOSYSTEM FUNCTIONS OF THE LAKE TOBA CATCHMENT AREA
THROUGH COMMUNITY DEVELOPMENT AND LOCAL CAPACITY BUILDING FOR
FOREST AND LAND REHABILITATIONEXTENDING THE AREA UNDER SUSTAINABLE FOREST MANAGEMENT IN THE
FOREST LANDS OF THE EMBERA-WOUNAAN COMARCA, DARIEN, PANAMATRAINING ON DEMONSTRATION, APPLICATION AND EXTENSION OF ITTO MANUALON RESTORING FOREST LANDSCAPES IN TROPICS OF CHINA
THE PREVENTION OF FURTHER LOSS AND THE PROMOTION OF REHABILIATION
AND PLANTATION OF GONYSTYLUS SPP. (RAMIN) IN SUMATEA AND KALIMANTANPROMOTING THE REHABILITATION, MANAGEMENT AND SUSTAINABLE USE OFTROPICAL BAMBOO FORESTS IN THE NORTH-WESTERN REGION OF PERUPROMOTING ADOPTION OF SUSTAINABLE FOREST MANAGEMENT IN THE BRAZILIANAMAZONSUSTAINABLE FOREST MANAGEMENT FOR THE FOREST PRODUCTION AREA OF
THE NORTHERN AND NORTHEASTERN REGIONS OF THE DEPARTMENT OFANTIOQUIA, COLOMBIAREFORESTATION OF TROPICAL SAVANNAH GRASSLAND WITH HIGH VALUED TEAKIN PAPUA NEW GUINEANATIONAL TRAINING PROGRAM TO PROMOTE THE ADOPTION OF REDUCED IMPACTLOGGING (RIL) IN PAPUA NEW GUINEAFOREST PROMOTION AND DEVELOPMENT BY NATIVE COMMUNITIES IN PERUIDENTIFICATION OF A PROJECT FOR THE REGENERATION AND MANAGEMENT OF
MANGROVE FORESTS SURROUNDING THE DOUALA/EDEA RESERVE, DEPARTMENTOF SANAGA MARITIME, CAMEROONINSTITUTIONAL STRENGTHENING OF ANAM FOR INTEGRATED FIRE MANAGEMENT
IN THE TROPICAL FORESTS OF PANAMACAPACITY BUILDING FOR CDM FORESTRY IN THE FRAMEWORK OF SFM
EMPHASIZING COMMUNITY FORESTS AND POVERTY ALLEVIATION IN GHANA
TRANSBOUNDARY BIODIVERSITY CONSERVATION AREA: The PULONG TAUNATIONAL PARK, SARAWAK STATE, PHASE IICOMMUNITY FOREST MANAGEMENT: A SUSTAINABLE ALTERNATIVE FOR THE
MAUES STATE FOREST, AMAZONAS STATE

GHANA$165 335

INDONESIA$549 974d

PANAMA$520 992

c

CHINA$372 060b

INDONESIA$507 903

b, c

PERU

$502 978b, c

BRAZIL$508 464a, b

COLOMBIA$547 917

a, b$79 920b, c$58 806a, b$56 538d

CAMEROON$79 164a, b

PANAMA$463 115

b, c

GHANA

$74 816d

MALAYSIA$950 800c

BRAZIL$513 527d

PAPUA NEWGUINEAPAPUA NEWGUINEA
PERU

d

109

TP /Project code

Title

Country

Total ITTO

REDDESREDDES
Objectives

Financed projects
PD460/07 Rev.1 (F) I
PD460/07 Rev.1 (F) II
PD470/07 Rev.1 (F)PD482/07 Rev.2 (F)PD492/07 Rev.3 (F)PPD134/07 Rev.1 (F)PPD135/07 Rev.1 (F)PPD136/07 Rev.1 (F)PD501/08 Rev.1 (F)PD507/08 Rev.1 (F)PD519/08 Rev.1 (F)PD521/08 Rev.3 (I)PD530/08 Rev.3 (F)PD534/08 Rev.1 (F)ACHIEVING SUSTAINABLE MANAGEMENT OF MANGROVE FORESTS IN CHINA
THROUGH LOCAL CAPACITY BUILDING AND COMMUNITY DEVELOPMENTACHIEVING SUSTAINABLE MANAGEMENT OF MANGROVE FORESTS IN CHINA
THROUGH LOCAL CAPACITY BUILDING AND COMMUNITY DEVELOPMENTDEVELOPMENT AND IMPLEMENTATION OF CRITERIA AND INDICATORS FORSUSTAINABLE MANAGEMENT OF PLANTED FORESTS AND COMMUNITY FORESTS(THAILAND)SUSTAINABLE FOREST PRODUCTION AND CONSERVATION WITH COMMUNITYPARTICIPATION IN THE CHEPIGANA FOREST RESERVE OF DARIEN, PANAMAPARTICIPATORY REHABILITATION AND MANAGEMENT PROJECT FOR MANGROVESAND WATERSHEDS IN THE COASTAL AREA OF THE DOUALA/EDEA WILDLIFERESERVE - “DOUALA-EDEA MANGROVE PROJECT”
GUIDELINES FOR THE RESTORATION OF MANGROVES AND OTHER COASTALFORESTS DAMAGED BY TSUNAMIS AND OTHER NATURAL HAZARDS IN THE ASIAPACIFIC REGIONCOMMUNITY-BASED FOREST MANAGEMENT OF SUNGAI MEDIHIT WATERSHEDSTUDY FOR THE CONSERVATION, LAND MANAGEMENT AND SUSTAINABLE
MOUNTAIN BIODIVERSITY MANAGEMENT IN THE CENTRE NORTH REGION OF TOGOPROMOTING HOUSEHOLD REFORESTATION IN TROPICAL ZONE OF
SOUTHWESTERN CHINA THROUGH DEVELOPMENT AND EXTENSION OF
HOUSEHOLD-ORIENTED TECHNIQUESDEVELOPMENT OF THE NATIONAL REFORESTATION POLICY AND AFFORESTATIONSTRATEGY CONSISTENT WITH THE LIBERIAN 3C-APPROACH
TROPICAL FOREST CONSERVATION FOR REDUCING EMISSIONS FROM
DEFORESTATION AND FOREST DEGRADATION AND ENHANCING CARBON STOCKSIN MERU BETIRI NATIONAL PARK, INDONESIAPARTICIPATORY FOREST MANAGEMENT FOR SUSTAINABLE UTILIZATION OF NONTIMBER FOREST PRODUCTS (NTFP) SURROUNDING THE PROTECTED AREA OF
RINJANI AND MUTIS TIMAU MT, NUSA TENGGARA INDONESIA
PHASE II OF ITTO PROJECT [PD 30/97 Rev.6 (F)] MANAGEMENT OF FORESTSESTABLISHED THROUGH REHABILITATION OF DEGRADED FORESTS BY LOCALCOMMUNITIES IN GHANA
SMALL-SCALE PRIVATE MIXED PLANTATIONS DEVELOPMENT PLUS NUTRITIONPROMOTION: THE CASE OF SIX RURAL COMMUNITY WOMEN’S GROUPS IN THE

CHINA$277 333

a, b, dCHINA

$155 585

a, b, dTHAILAND$209 574

a, b, dPANAMA$470 108c, d

CAMEROON$676 231d

JAPAN$129 038

a, b

MALAYSIA$73 710d

TOGO$52 358a, b, c

CHINA$353 435d

LIBERIA$396 310

c, d

INDONESIA$814 590c

INDONESIA$490 374d

GHANA$569 665

b, d

GHANA

$424 837

c, d

110

TP /Project code

Title

Country

Total ITTO

REDDESREDDES
Objectives

Financed projects

PPD142/08 Rev.1 (F)PD552/09 Rev.1 (F)PPD143/09 (F)PD577/10 Rev.1 (F)PD581/10 Rev.2 (F)PD583/10 Rev.1 (F)PD584/10 Rev.2 (F)PD586/10 Rev.1 (F)PD590/10 Rev.1 (F)PPD147/10 Rev.1 (F)PD599/11 Rev.1 (M)PD601/11 Rev.3 (F)EASTERN AND ASHANTI REGIONS OF GHANA: PHASE IIASSESSING THE POLICY AND INSTITUTIONAL FRAMEWORK TO FACILITATEDEVELOPMENT OF AN INTEGRATED GRAZING POLICY FOR SUSTAINABLE
MANAGEMENT OF TROPICAL FOREST RESOURCES IN INDIAENCOURAGING CUSTOMARY LANDOWNERS IN THE LOWLANDS OF PAPUA NEW
GUINEA’S CENTRAL PROVINCE TO REFOREST THEIR GRASSLANDS WITH HIGH
VALUE TREESASSESSMENT OF MANGROVE FOREST AFFECTED BY CYCLONE NARGIS TOFACILITATE THE DEVELOPMENT OF AN INTEGRATED MANGROVE ECOSYSTEMMANAGEMENT IN AYEYARWADY DELTA, MYANMARMANAGEMENT OF THE EMERALD TRIANGLE PROTECTED FORESTS COMPLEX TO
PROMOTE COOPERATION FOR TRANSBOUNDARY BIODIVERSITY CONSERVATIONBETWEEN THAILAND, CAMBODIA AND LAOS (PHASE III)ESTABLISHING A GEOGRAPHIC INFORMATION SYSTEM FOR THE SUSTAINABLE
MANAGEMENT OF THE FOREST AREAS OF TOGORESTORING SUB-HUMID ECOSYSTEMS IN SOUTHERN PERU THROUGH
REFORESTATION WITH Caesalpinea spinosa
IMPLEMENTING THE COOPERATIVE FRAMEWORK BETWEEN ODEF AND THE
STAKEHOLDERS FOR THE EFFECTIVE PARTICIPATORY AND SUSTAINABLE
MANAGEMENT OF THE ETO-LILICOPE FOREST COMPLEXOPERATIONAL STRATEGIES FOR THE CONSERVATION OF TENGKAWANG GENETIC
DIVERSITY AND FOR SUSTAINABLE LIVELIHOOD OF INDIGENOUS PEOPLE IN
KALIMANTANINTEGRATED FIRE MANAGEMENT IN RURAL COMMUNITIES OF GUATEMALA:ESTABLISHMENT OF PILOT SITES FOR THE IMPLEMENTATION OF SUSTAINABLE
INTEGRATED FIRE MANAGEMENT PRACTICESZONING AND SUSTAINABLE DEVELOPMENT OF THE MINKEBE PROTECTED AREA
TOWARDS THE PROTECTION OF TRANSBOUNDARY CONSERVATION CORRIDORSBETWEEN GABON, CAMEROON AND THE CONGODEVELOPMENT AND TESTING OF NATIONAL FOREST STOCK MONITORING SYSTEM(FSMS) WITH IMPROVED GOVERNANCE CAPABILITIES AT ALL LEVELS OF THE
FOREST ADMINISTRATIONSTRENGTHENING MANGROVE ECOSYSTEM CONSERVATION IN THE BIOSPHERERESERVE OF NORTHWESTERN PERU

INDIA

$79 969

a, b

PAPUA NEWGUINEA$644 814d

MYANMAR$61 938e

THAILAND$2 051 039

a, b, c

TOGO

$345 840

a, b

PERU

$149 796

b, c

TOGO

$162 788d

INDONESIA$414 104d

GUATEMALA$517 563

a, b

GABON

$99 279a, b,cPHILIPPINES$497 930

a, b

PERU

$496 290c111

TP /Project code

Title

Country

Total ITTO

REDDESREDDES
Objectives

Financed projects
PD617/11 Rev.4 (F)PPD153/11 Rev.1 (F)PD635/12 Rev.2 (F)PD653/12 Rev.1 (F)PD660/12 Rev.3 (I)PD665/12 Rev.2 (F)PD668/12 Rev.1 (F)PROMOTING BIODIVERSITY CONSERVATION IN BETUNG KERIHUN NATIONAL PARK(BKNP) AS THE TRANS-BOUNDARY ECOSYSTEM BETWEEN INDONESIA AND STATE
OF SARAWAK MALAYSIA (PHASE III)
FOREST FIRE PREVENTION THROUGH THE IMPLEMENTATION OF REGIONALACTIONS WITH THE PARTICIPATION OF LOCAL COMMUNITIES AND OTHER
RELEVANT STAKEHOLDERS SO AS TO ENSURE THE PROTECTION OF FORESTS ANDECOSYSTEM SERVICESBUFFER ZONE MANAGEMENT FOR PULONG TAU NATIONAL PARK WITH
INVOLVEMENT OF LOCAL COMMUNITIES IN SARAWAK, MALAYSIASUSTAINABLE, MIXED AND PURE FOREST PLANTATION DEVELOPMENT IN THE
TRANSITIONAL ZONE OF GHANA’S BIAKOYE DISTRICT ASSEMBLY, EMPLOYINGPOVERTY REDUCTION STRATEGIESENHANCING INDUSTRIAL AND COMMUNITY UTILIZATION OF WOOD RESIDUESTHROUGH BRIQUETTE AND CHARCOAL PRODUCTION FOR ENVIRONMENTAL AND
LIVELIHOOD IMPROVEMENT IN GHANA
IMPLEMENTATION OF A FIRE PREVENTION AND CONTROL PLAN IN THE CENTRALAMAZON REGION OF PERUINTEGRATED MANAGEMENT OF NATURAL RESOURCES AND BIODIVERSITY IN THE
TACANA VOLCANO AND ITS RANGE OF INFLUENCE IN MEXICO AND GUATEMALAINDONESIA$941 559c

COLOMBIA$99 576a, b

MALAYSIA$517 450

a,d

GHANA

$245 272

b, d

GHANA

$705 107a, b, dPERU$767 786b, eGUATEMALA$641 639

a, b, c

PPD165/12 Rev.1 (F)STUDY FOR THE REHABILITATION AND SUSTAINABLE MANAGEMENT OF SACREDFORESTS ON RAMSAR SITES 1017 AND 1018 IN BENIN

BENIN$79 380a, b

PD722/13 Rev.1 (I)

CAPACITY BUILDING ON REDUCED IMPACT LOGGING (RIL) IN DRY INLAND FOREST
IN THE PERMANENT FOREST OF PENINSULAR MALAYSIA

MALAYSIA$226 041

a, b

PP-A/43-210
PP-A/43-224
PP-A/43-236
PP-A/45-242
PP-A/45-243
PP-A/45-245
PP-A/45-246
PP-A/45-248
PP-A/47-266

Climate Change (Add'l.)
C&I National workshop (Add'l.)
UN-REDD/Environmental Services
Workshop on forest governance, decentralisation & REDDCountry assistance - C&I
Climate changeInternational Conference on Biodiversity
ITTO/IUCN Biodiveristy Guidelines
ITTO/CBD Collaborative initiative

ITTO
ITTO
ITTO
ITTO
ITTO
ITTO
ITTO
ITTO
ITTO

$66 000$80 000$3 863 958$60 000$50 000$100 000$100 000$76 595$1 320 224

c, e
a, b
c, e
a, c
a, b
c, e
c
c
c
112

TP /Project code

Title

Country

Total ITTO

REDDESREDDES
Objectives

Financed projects
PP-A/47-260
PP-A/47-265
PP-A/30-102B
PP-A/48-275
PP-A/48-276
PP-A/48-277
PP-A/48-275
PP-A/49-288
PP-A/48-277
PP-A/50-296
Subtotal
Pending for funding
PD554/09 Rev.2 (F)PD563/09 Rev.4 (F)PD605/11 Rev.3 (F)PD609/11 Rev.3 (F)PD628/11 Rev.3 (F)PD629/11 Rev.2 (F)PPD151/11 Rev.3 (F)PD631/12 Rev.2 (F)PD645/12 Rev.3 (F)Climate Change - members assistance
GPFLR learning network
ITTO-RCEN
Int'l Forum on Env.Services 2013
GPFLR- network estmablishment 2013
Support for Fire Conference 2013
International Conference on Environmental Services
ITTO's Participation in GPFLR (2013-2014)
6th International Wildland Fire Conference (Korea)
Trans-boundary conservation area (DRC)

PILOT SUSTAINABLE MANAGEMENT SYSTEMS FOR SECONDARY FORESTS IN THE
COLLECTIVE TERRITORY OF THE BAJO CALIMA COMMUNITY COUNCIL,
MUNICIPALITY OF BUENAVENTURA, COLOMBIACOMMUNITY BASED FOREST MANAGEMENT OF SUNGAI MEDIHIT WATERSHED,SARAWAK,MALAYSIA
DEMONSTRATION AND EXTENSION OF FIRE-BREAK FOREST BELTS FOR EFFICIENTFOREST FIRE MANAGEMENT IN TROPICAL FORESTS IN GUANGDONG PROVINCE,CHINA
ENHANCEMENT OF THE PARTICIPATORY BUSHFIRE PREVENTION AND
MANAGEMENT SYSTEM IN TOGOSTRENGTHENING OF FOREST MANAGEMENT PRACTICES OF LOCAL COMMUNITIESAND INDIGENOUS PEOPLES IN GUATEMALAPROTECTION, MANAGEMENT AND RESTORATION OF FOREST LANDS FOR WATERCATCHMENT AND FLOW REGULATION AS A CLIMATE CHANGE ADAPTATIONMEASURESUPPORT TO THE LOCAL COMMUNITIES OF THE MONO PLAIN FOR THE PROMOTION
AND SUSTAINABLE MANAGEMENT OF COMMUNITY FORESTS IN TOGOREFORESTATION OF COASTAL WETLANDS IN SOUTHERN GHANA USING
INDIGENOUS TREE AND BAMBOO SPECIESPROMOTING SUSTAINABLE FOREST MANAGEMENT OF RINJANI BARAT FOREST
MANAGEMENT UNIT

ITTO
ITTO
ITTO
ITTO
ITTO
ITTO
ITTO
ITTO
ITTO
ITTO

$100 000$50 000$347 000$116 588$50 000$30 000$115 794$25 000$20 000$1 280 619$35 303 927

COLOMBIA$453 600,00

a, b

MALAYSIA

$0,00

d

CHINA

$278 020,00

b, e

TOGO

$658 825,00

b, e

GUATEMALA$472 505,00

d

GUATEMALA$485 136,00

e

TOGO

$48 770,00

d

GHANA

$511 661,00

b, c

$0,00

a, b

INDONESIA

c

c
a, b
c
b
c

113

TP /Project code

Title

Country

Total ITTO

REDDESREDDES
Objectives

Financed projects
PD646/12 Rev.3 (F)PPD160/12 Rev.1 (F)PPD162/12 Rev.2 (F)PD682/13 Rev.1 (F)PD695/13 Rev.2 (F)PD696/13 Rev.2 (F)PD723/13 Rev.1 (F)PPD166/13 Rev.2 (F)PPD173/13 Rev.1 (I)PPD176/13 Rev.1 (F)PD737/14 Rev.1 (I)

PP-A/47-266

PP-A/50-296 I

INITIATING THE CONSERVATION OF CEMPAKA TREE SPECIES (ELMERRILLIA SPP)THROUGH PLANTATION DEVELOPMENT WITH LOCAL COMMUNITY PARTICIPATIONIN NORTH SULAWESI, INDONESIASTUDY FOR THE REHABILITATION AND SUSTAINABLE MANAGEMENT OF THE
MANGROVE FORESTS IN THE COASTAL AREA OF BENIN
DEVELOPING MODEL OF A SELF SUFFICIENT AND SUSTAINABLE FMU
DEVELOPMENT OF QUALITY-OF-GOVERNANCE STANDARDS FOR REDUCINGEMISSION FROM DEFORESTATION AND FOREST DEGRADATION (REDD) IN PAPUANEW GUINEAREHABILITATION OF DEGRADED GAZETTED FORESTS IN THE MOUNT KORHOGO,FOUMBOU AND BADENOU IN NORTHERN CÔTE D’IVOIRE WITH THE INVOLVEMENT
OF LOCAL COMMUNITIESCOMMUNITY BASED RESTORATION AND SUSTAINABLE MANAGEMENT OFVULNERABLE FORESTS OF THE REWA DELTA, VITI LEVU, FIJI
CAPACITY BUILDING FOR STRENGTHENING TRANSBOUNDARY BIODIVERSITYCONSERVATION OF THE TANINTHAYI RANGE IN MYANMAR
IMPROVING THE FUEL WOOD SUPPLY THROUGH THE PROVISION OF SUPPORT TO
THE DEVELOPMENT OF FOREST PLANTATIONS IN THE MOKOLO, MAROUA AND
KAELÉ MUNICIPALITIES IN THE SAHELIAN PART OF CAMEROONMANAGEMENT OF TROPICAL FOREST SPECIES FOR THE PRODUCTION OF TIMBERFOR RURAL AND TOURISM INFRASTRUCTURE CONSTRUCTION IN SOUTH-EAST
MEXICOIDENTIFICATION AND PLANNING OF MEASURES FOR THE SUSTAINABLE
MANAGEMENT OF THE FOREST ESTATE OWNED BY INDIVIDUALS IN TOGODEVELOPING SUPPLY CAPACITY OF WOOD-BASED BIOMASS ENERGY THROUGH
IMPROVED ENABLING CONDITIONS AND EFFICIENT UTILIZATION OF DEGRADEDFOREST LANDS INVOLVING LOCAL COMMUNITIES IN NORTH SUMATRA PROVINCE
OF INDONESIA
BUILDING CAPACITIES FOR ACTO MEMBER COUNTRIES IN ECOLOGICALLYRESPONSIBLE FOREST MANAGEMENT AND BIODIVERSITY CONSERVATION IN
MANAGED FORESTS OF THE AMAZONBUILDING THE CAPACITIES FOR BIODIVERSITY CONSERVATION IN TRANSBOUNDARY CONSERVATION AREAS (TBCAs) IN THE CONGO BASIN COUNTRIESINDONESIA

$0,00

c, d

$72 900,00

a, b

INDONESIA

$0,00

a, b

PAPUA NEWGUINEA$149 744,00

a, b, cCOTE
D'IVOIRE$1 259 942,00

b, d

FIJI

$310 576,00

d

MYANMAR$3 093 976,00

a, b, cCAMEROON$70 056,00

a, b

MEXICO$54 058,00

d

TOGO

$53 368,00

a, b

INDONESIA$594 832,00

d

ITTO

$1 320 224,00

a, b, cITTO

$1 280 619,00

a, b, c

BENIN

114

TP /Project code

Title

Country

Total ITTO

REDDESREDDES
Objectives

Financed projects
THROUGH SFM PRACTICES AND THE USE OF SATELLITE AND RADAR IMAGERY(PHASE 1)
Subtotal
GRAND TOTAL$11 168 812,00$46 472 739,15

115

TFLET
objectives

TFLET
Financed
PD338/05 Rev.1(M,I)
PD340/05 Rev.2 (M)PD346/05 Rev.2 (F)PD353/05 Rev.2(M,F,I)
PD391/06 Rev.2 (M)PD406/06 Rev.1 (M)PD421/06 Rev.2 (F)PD433/06 Rev.3 (I)PPD128/06 Rev.1(F)
PD440/07 Rev.1(M,I)
PD443/07 Rev.1 (M)PD449/07 Rev.2(M,I)
PD487/07 Rev.1 (M)PD493/07 Rev.1(F)PPD138/07 Rev.1(M)
PPD139/07 Rev.1(M)
PD620/11 Rev.1 (M)PD621/11 Rev.3 (M)PD673/12 Rev.1 (F)PD678/12 Rev.1 (M)PROMOTION OF GUATEMALAN CERTIFIED TIMBER AND TIMBER PRODUCTS TRADE

GUATEMALA$230 468,00

2

NATIONAL FOREST STATISTICAL INFORMATION SYSTEM IN GUATEMALACONSERVATION AND RECOVERY OF DEGRADED LAND IN FAMILY AGRICULTURE
UNITS IN THE EASTERN BRAZILIAN AMAZONADOPTION AND IMPLEMENTATION OF THE FORESTRY INFORMATION SYSTEM (FIS)FOR THE PHILIPPINESPROMOTING AND CREATING MARKET DEMAND FOR CERTIFIED TROPICAL WOOD
AND VERIFIED LEGAL TROPICAL WOODESTABLISHMENT OF A NATIONAL FOREST AND TIMBER MARKETING STATISTICS
SYSTEM
STRENGTHENING OF THE PRODUCTION CHAIN FOR TIMBER FROM FOREST
CONCESSIONS AND OTHER FORESTS UNDER MANAGEMENTSUSTAINABLE MODEL FOR THE BRAZILIAN WOOD FLOORING PRODUCTION CHAIN
STRENGTHENING CAPACITY OF FOREST LAW ENFORCEMENT AND GOVERNANCE
IN CAMBODIA
IMPROVING THE DETECTION AND PREVENTION OF ILLEGAL LOGGING AND
ILLEGALITY IN SHIPMENT AND TRADE OF WOOD PRODUCTS IN GUYANASTRENGTHENING OF THE FOREST STATISTICS AND INFORMATION CENTER (CIEF)

GUATEMALA$305 523,00

1

BRAZIL$324 000,00

PHILIPPINES$477 889,00

1

JAPAN

$313 892,00

2

ECUADOR$454 148,00

1

PERU

$580 532,00

3

BRAZIL$516 927,00

3

CAMBODIA$66 636,00

1

GUYANA$574 101,00

2

HONDURASPAPUA NEWGUINEA
GHANA$230 023,00

1, 3$473 040,00

1$473 040,00

2

CAMBODIA$120 270,00

1

VERIFYING THE LEGALITY OF TIMBER FOREST PRODUCTS IN PERU

PERU

$79 844,00

2

STRENGTHENING OF THE NATIONAL FOREST INFORMATION SYSTEMTHAILAND$84 505,00

2

GERMANY$1 695 342,00

2

PERU

$349 032,00

2

CAMBODIA$464 033,00

1

BENIN

$398 704,00

1, 2

ENHANCING FOREST LAW ENFORCEMENT IN PAPUA NEW GUINEAINDEPENDENT VALIDATION OF LEGAL TIMBER IN GHANA
STRENGTHENING CAPACITY OF FOREST LAW ENFORCEMENT AND GOVERANCE IN
CAMBODIADEVELOPMENT AND IMPLEMENTATION OF A SPECIES IDENTIFICATION AND
TIMBER TRACKING SYSTEM IN AFRICA WITH DNA FINGERPRINTS AND STABLE
ISOTOPESTRACEABILITY OF TIMBER PRODUCED BY FOREST CONCESSIONS AND NATIVECOMMUNITIES IN MADRE DE DIOS AND UCAYALI, REPUBLIC OF PERUSTRENGTHENING THE CAPACITY IN FOREST LAW ENFORCEMENT AND
GOVERNANCE OF THE PERMANENT FOREST ESTATES IN KRATIE AND
MONDULKIRI PROVINCES OF CAMBODIAESTABLISHMENT OF A NATIONAL FOREST STATISTICS INFORMATIONMANAGEMENT SYSTEM IN BENIN

116

TFLET
objectives

TFLET
PD692/13 Rev.1 (M)PPD167/13 Rev.1(M)
PP-A/23-63 II
PP-A/49-291
PD 124/01 Rev.3 (M)Ph.III Stage 1
PP-A/43-202
PP-A/43-220
Subtotal
Financed
PD602/11 Rev.2 (F)PD698/13 Rev.2 (I)PD700/13 Rev.1 (I)Subtotal
GRAND TOTALIMPLEMENTATION AND OPERATIONALIZATION OF A NATIONAL INFORMATIONSYSTEM FOR THE SUSTAINABLE MANAGEMENT OF FOREST RESOURCESFEASIBILITY STUDY ON THE CERTIFICATION OF ONAB'S NATIONAL PLANTATIONSESTATESACTIVITY TO FACILITATE DEVELOPMENT OF A JOINT ITTO/ECE-FAO/EUROSTATFOREST STATISTICS QUESTIONNAIRE - PHASE IIINDEPENDENT TIMBER MARKET MONITORINGCOTE
D'IVOIRE$290 541,00

1, 2

BENIN

$88 794,00

2

ITTO

$251 250,00

1, 2

ITTO

5 421 200

1, 2

1
1

ITTO
ASSESS FOREST TENURE
TIMBER PROCUREMENT POLICIES

ITTO
ITTO

500 000
100 000
143 337
15 007 071

TROPICAL FOREST GOVERNANCE IN THE REGION OF DARIEN, PANAMAFACILITATING FOREST-INDUSTRY-MARKET INTEGRATIONDEVELOPMENT OF INTRA-AFRICAN TRADE AND FURTHER PROCESSING IN
TROPICAL TIMBER AND TIMBER PRODUCTS - PHASE I

PANAMA
GUATEMALA$350 402,00$419 440,00

1
2

ITTO

$5 159 245,00

2$5 929 087,00$20 936 158,00

117

ANNEX 8

COMPARATIVE ANALYSIS BETWEEN TFLET/REDDES AND RELATED INTERNATIONAL PROGRAMMESComparison of TFLET and EU-ACP/FAO FLEGTProgramme
Objectives

TFLET

EU-ACP/FAO FLEGT

GeneralEnhance and diversify international trade in tropical timberfrom sustainably managed forests,• Help alleviate poverty
Specific
1. Strengthen forest law compliance and governance, improved
data and knowledge, partnerships and cooperation among all
stakeholders;
2. Improve transparency and effective management of supply
chains and increased domestic and international trade
3. Improve capacity of community and small and medium-sizedenterprises to implement and demonstrate that timber produced and traded comes from legal sources contributing tosustainable livelihoods
4. Improve international cooperation

GeneralImproved governance to poverty reduction and SFM
Specific
1. Improved policy, legal and regulatory frameworks are implemented;
2. FLEGT principles and concepts are understood by forest sector
stakeholders;
3. Capacity of civil society and forest sector staff to manage forest
resource is increased;
4. Civil society, private sector organizations and government institutions collaborate to enforce forest sector legal frameworks.

Pre-cursor phase 2007
Pilot phase 2008
SAP 2013-2018
ITTO Member countries, particularly producers

Phase I 2008
Phases II (two extensions)Phase 2015-2020 (under preparation)
Phase I ACP countries
Phases II an III developing countries

Calls for proposals
Activities in BWP
20 (+ 2 more not included in the review)

Direst assistance to governments
Calls for proposals by governments, CSOs and private sector
90 completed projects
20 company audits

Pre-projects up to USD 100,000
Small projects up to USD 150,000
Projects up to USD 1 million
Up to four years
Law compliance and governance
Production and marketing (supply chains)
Community and SMEs

Up to USD 100,000 for pilot projects
Up to USD 50,000 for stakeholders•

Period in operation
Geographic
scope
Modus operandi
Number of projects
financed
Project size

Project duration
Thematic programme focus

Up to one year
Support national FLEGT strategy
Innovative policy and legal frameworks
Independent monitoring118

Programme

TFLET
Cooperation

EU-ACP/FAO FLEGTDomestic timber markets
Log movement monitoring
Support to stakeholders, incl. private sector organizations
Community based 24
Transparency, observatory 15
VPA support 15
Communication & information 15
Private sector 11
Market issues 10
Policy 9
Verification 8

Thematic focus ofprojects financed

Capacity building
Institutional strengthening
Stakeholder participation
Timber tracking and certification
Market transparency

Country focal
points, clearance
Review of proposals
Financing decision
Countries withfinanced projects

Yes, clearance needed

No clearance

ITTO Secretariat and TPAC

Project Management Unit

Executive Director

Final endorsement by the Steering Committee

Cameroon, Ghana, Mali
China, Indonesia
Colombia, Guatemala, Panama, Peru
Australia, Germany (these projects produced outputs for regional
and international use)
Cambodia and PNG (not included in the review)
Panama and Thailand (pending agreement, not included in thereview)

Benin, Botswana, Burkina Faso,
Burundi, Cameroon CAR, Congo Rep.,
Côte d’Ivoire, DRC, Gabon, Gambia,
Ghana, Kenya, Liberia, Madagascar,
Mozambique, Namibia, Nigeria, Sierra
Leone, Tanzania, Togo,Uganda
Myanmar, Nepal, PNG, Solomon
Islands, Thailand, Vanuatu, Viet Nam
Belize, Costa Rica, Dominican Rep.,
Guatemala, Guyana, Honduras, Jamaica,
Trinidad & Tobago,
United Kingdom
Not identified
Phase II: EUR 11,850,000 (about USD 13.8 mill.) of which USD 2
million from FAO’s own programmes
European Commission

Linkage to ITTO
Funding by 2013
Donors$9,079,307
Netherlands, Australia, Japan, UK, USA, Switzerland, Germany,
JLIA, New Zealand, Finland, Norway, Korea

119

Comparison of REDDES, UN-REDD and FCPF Readiness Fund
Programme

REDDES

Objectives

Generalreduce deforestation and forest degradation, enhance environmental services andhelp improve forest dependant livelihoods
through sustainable management of tropical forests, forest restoration and otherrelated activities
Specifica) reduce unplanned deforestation;b) reduce forest degradation;c) maintain and enhance climate change
mitigation and other environmental
services of tropical forests;d) contribute to the social and economic
sustainability and well-being of forestdependent communitiese) enhance adaptation and resilience oftropical forests to negative effects ofclimate change and human-induced
impacts.
Pilot phase 2008-2012
SAP 2013-2018
ITTO Member countries, particularly producers

Date
Geographic
scope

UN-REDD

FCPF Readiness Fund

Framework document:
General: Reducing deforestation and forest deg(i) assisting developing countries prepare and radation, forest carbon stock conservation, theimplement national REDD strategies andsustainable management of forests, and the enmechanisms;
hancement of forest carbon stocks in developing(ii) supporting the development of normative
countries
Strategic objectives:
solutions and standardized approaches
based on sound science for a REDD instru• Assist eligible REDD+ Countries in their efment linked with the UNFCCC.
forts to achieve Emission Reductions (ER)from deforestation and/or forest degradation
Programme strategy 2011-2015:
byPromote the elaboration and implementation • Pilot a performance-based payments system
of National REDD+ strategies to achieve
for ER generated from REDD+ activities,
REDD+ readiness, including transformation
with a view to ensuing equitable sharingof land use and sustainable forest manage• Test ways to sustain or enhance livelihoods ofment and performance based payments.
local communities and to conserve biodiversity;• Disseminate broadly the knowledge gained

Launching in 2008
Quick Start phase in 9 countries
Developing countries

Operational in 2008
Developing countries

National Programme Countries (2013): Bolivia, Cambodia, Republic of the Congo, DRC,
Ecuador, Nigeria, Panama, PNG, Paraguay,
Solomon Islands, Sri Lanka, Zambia
Number of
projects
financed

29 projects (plus 2 not included in the review and 3 pending agreement to start)

Project size

Pre-projects up to USD 100,000
Small projects up to USD 150,000
Projects up to USD 1.1 million

51 partner countries
18 countries with UN-REDD National Programmes
29 countries with access to support for national action
National programme funding USD 0.5 million
to 6.4 million/country

36 partner countries, with 32 developed
RPP; DRC is in the mid-term stage of implementation

US$200,000 technical assistance grant to finance the formulation of a R-PP and a US$3.6–
3.8 million grant to assist with the preparation of120

Programme
Project duration
Modus operandi

REDDES

UN-REDD

Up to four years

Several years

Call for proposals for pre-projects and projects

Framework document:
National actions facilitate and broker thechallenging national process
Actions are designed as REDD Joint Programmes which are flexible to harmonize
with other REDD initiatives within country,

A pilot country approach is applied to selected countries which are interested ITTO
members are invited to submit their candidature for a programmatic country support
involving all four areas of intervention.
These countries could be participants in
the UN-REDD Programme, the FCPF andother related initiatives thereby harnessing
synergies with them

Programme strategy:(1) direct support to the design and implementation of national programmes; and (2)complementary global and regional-level activities.

FCPF Readiness Funda Readiness Package
Several years
Based on the country Proposal Idea Note (PIN)Country Participant develops a Readiness Preparation Proposal (R-PP). A Readiness Package
is then prepared for consideration of the Carbon
Fund. Submissions by public or private entities
are possible if approved by the REDD Country
Participant.
R-PP can include REDD+ strategies and policies, references emission levels (REL), measurement, reporting and verification (MRV) systems, and institutional capacity to manage
REDD+, including environmental and social
safeguards.
The process usually involves several rounds of
feedback and assistance prior to formal submission of an R-PP. FMT selects a team of six toeight technical advisors to shepherd the R-PP
through the submission process

Thematic focus of financing

Reduction of deforestation and forest deg- Framework document:
radation through expansion of sustainably • Scoping and Alliance Building
managed areas which also includes resto- • REDD Readiness for Monitoring and Asration of degraded secondary forests andsessment
rehabilitation of degraded forest lands• REDD Dialogue• National REDD strategy
Strategic intervention areas:• Support for implementing the REDDa) assessment and diagnosis;
measuresb) enabling conditions and capacity• REDD Data Managementbuilding;• REDD Payment structuring and distributionc) demonstration activities• International support functionsd) scaling up and dissemination.
• Monitoring systems• Accounting Methods and Verification ofEnvironmental services covered:
Reduced Emissions(i) climate change mitigation and adapta• Guidelines, methods and tools for reducing

•
•

•
•
•
•
•
•

Building in-country capacity
Advancing REDD+ on the ground throughmultisectoral platforms, strengthening ofgovernance, intersectoral coordination, policy development
Fostering partnerships
Creating global standards for REDD+
Setting the path for impact on climate
Promoting sustainable landscapes
Stimulating non-carbon benefits
Generating knowledge

121Programme

Country focal
points, clearance
Review ofproposals
Financing decision

REDDES

UN-REDDtion through enhancement of carbon pools
deforestation and forest degradationin the forest and avoidance of emissions• Co-benefit and Trade-Off Tools
from deforestation and degradation;• Capacity building in negotiation(ii) maintenance and enhancement of bio- • Knowledge Management
diversity, (iii) improvement of soil and waProgramme strategy:
ter conservation; (iii) disaster prevention• MRV and monitoring
and flood control through improved resili- • National REDD+ governanceence; (iv) ecotourism, amenity and recrea- • Stakeholder engagementtion values; (v) sustainable forest produc- • Multiple benefitstion, and (vi) combination of various envi• Transparent equitable and accountableronmental services and other outputs withmanagementin the SFM implementation.
• Sector transformation
Yes, clearance needed
Host government identifies actions
Encouragement of establishment of National
REDD Steering Committee
ITTO Secretariat and TPAC
UN-REDD Technical Secretariat manages
national programme review process
Executive Director
UN-REDD Policy Board

FCPF Readiness Fund

National REDD Coordination Unit serves as focal point
Ad Hoc Technical Advisory Panel and Facility
Management Team
Participants Committee selects eligible REDD
countries and grant allocation for preparing theReadiness Package
N.a.

Length of the
proposal processing cycle
Countries withfinanced projects

TBC

N.a.

Cameroon, DRC, Ghana, Liberia, Togo
Indonesia, Malaysia, Myanmar
China, Brazil, Ecuador, Guatemala,
Guyana, Honduras, Mexico, Peru

36 developing countries (13 in Africa, 15 in Latin America and the Caribbean, and 8 in the
Asia-Pacific Region)

Funding by
2013

USD 9,532,742, practically all disbursed.

49 partner countries (28)CAR, Congo Rep., DRC, Gabon, Kenya, Nigeria, Sudan, Tanzania, Zambia
Bangladesh, Bhutan, Cambodia, Indonesia,
Nepal, PNG, Philippines, Solomon Islands,
Sri Lanka, Viet Nam,
Argentina, Bolivia, Colombia, Costa Rica,
Ecuador, Guatemala, Guyana, Mexico,
Panama, Paraguay
Sources of funds USD 215 million of which
157 million used by end 2013

DonorsNorway, Switzerland, Japan, USA

Norway, Denmark, Spain, EU, Japan,
Luxemburg

Germany, Canada, Norway, Australia, Netherlands, Finland, Japan, France, USA, Switzerland, Spain, Denmark, UK, European Commission, Italy

USD 258 million of USD 29 million disbursed

122

Programme

REDDES

UN-REDD

FCPF Readiness Fund

Linkage withITTO

Link with UN-REDD, FCPF, FIP and bilateral programmes identified with possibility
for joint/coordinated programming andplanning

Programme strategy: ITTO and UN-REDD
Programme are continuing to work together
in some country projects.
Coordination and collaboration among otherinstitutions and initiatives are essential toreduce transaction costs and improve efficiency.

Not mentioned (only UN-REDD, FIP, BioCarbon
Fund, REDD+ Partnership)123

ANNEX 9 COUNTRY COVERAGE OF THEMATIC PROGRAMMES, EU-FLEGT PROGRAMME, UNREDD AND FCPF
TFLET, EU-ACP FLEGT and EU-FAO FLEGTCountry

TFLET

Benin

EU-ACP
FLEGT

EU-FAO
FLEGT

1Cambodia1*

Cameroon2

Central African Republic

13

5

5

China

1

Colombia

1

Congo, DR

7

5

Congo, Republic of

6

4

Costa Rica

1

Côte d'Ivoire

2

4

Gabon

1

2

7

3

Ghana

2

Germany

1

Guatemala3

Guyana2
4

Honduras
Indonesia

35

Liberia
Mali

3
2

5
1

Mozambique

2

Myanmar1

Nigeria1

Papua New Guinea

1*

Peru

3

1

2

Thailand

1

Togo

2

Trinidad and Tobago

2

United Kingdom

2Vietnam1

4

Number of countries

9 (11*)

16

16

Number of projects

19 (21*)

61

43

Note:
In TFLET, PD 123/10 regional project in Africa benefiting all the producing countries in the region is notincluded in the table. PD 493/07 Rev.1 (F) Strengthening Capacity of Forest Law Enforcement and Governance(Cambodia) and PD 449/07 Rev.2 (M,I) Enhancing Forest Law Enforcement in PNG included in the list with anasterisk as they were not included in the review. The Indonesian projects include Australia-funded project TFL-PD
037/13 Rev. 2(M) Implementing a DNA timber tracking system in Indonesia which was not included in the review.
Three other projects in Panama, PNG and Thailand are pending agreement and not included in the list (TFL-PD
044/13 Rev. 2 (M); TFL-SPD 043/13 Rev. 1 (M) and TFL-PPD 005/09 Rev. 1 (F), respectively).

124

REDDES, UN-REDD and FCPF
REDDESUNREDD
National
Programmes (NP)Country

Full NP

FCPF

Other
partners

Targeted
Support(SNA)

Received
ceivedgrantSignedAustralia
Benin
Brazil1
1

Cambodia1

Cameroon
Central African
Republic

3

China

2

1

1

1

1

1

1

1

1

1

1

1

1

1

Côte d'Ivoire
1

1

1

1

1

1

Fiji

1

Gabon

1

Ghana

1

1

Costa Rica
Ecuador1

1

Colombia
Congo, DR
Congo, Republic
of

1

3

1

1

Guatemala

2

1

1

1

Guyana

1

1

1

1

1

1

1

Germany

Honduras
Honduras/Guatemala

1Indonesia

3

Liberia

1

1

Malaysia

1

1

1

1

1

1

1

1

1

1

1

1

1

1

1

1

1

1
1

Mali
MexicoMozambique
Myanmar1

Nigeria1

PanamaPapua New
Guinea

1

Peru

1

1

1

2

Philippines

1

Suriname

11ThailandTogo
Trinidad and Tobago

1

1
2

1

1
1

125

REDDESUNREDD
National
Programmes (NP)Country

Full NP

Other
partners

FCPF
Targeted
Support(SNA)

Received
ceivedgrantSignedUnited Kingdom
VietnamNumber of countries
Number of projects

1

1

16

12

11

17

11

11

8

26

12

11

17

11

11

8

Note:
In REDDES, there has been one regional project in Africa and two international projects benefiting all the countries. These are not included in the table. RED-SPD 058/11 Rev. 2 (F) Developing REDD+ES in the Brazilian Atlantic rain forest was pending agreement at the writing of this report and is not included in the list.

126

ANNEX 10
LIST OF INTERVIEWEES

Breulmann, Gerhard, ITTO
Carillo Arellano, Ramón, ITTO
Castrén Tuukka, The World Bank
Caswell, Stephanie, ITTO Consultant
Dieterle Gerhard, The World Bank
Johnson, Steven, ITTO
Leigh, John, ITTO
Ma, Hwan Ok, ITTO
Mansur, Eduardo, FAO
Masupa, Polycarpe, ITTO
Simpson, Robert, FAO
Tetra, Yanuariadi, ITTO
Tomaselli, Ivan, STCP, ITTO/CITES Regional Coordinator, Latin America
ZeMeka, Emmanuel, ITTO

127