311

INTERNATIONAL TROPICALTIMBER COUNCIL

Distr.
GENERAL
ITTC-JC(XLV)/2 – Annex II
26 September 2011
ENGLISHFORTY-SEVENTH SESSION
14-19 November 2011
La Antigua Guatemala, Guatemala

META-EVALUATION OF PREVIOUSLY EVALUATED ITTO
PROJECTS
Lessons learned & good practices towards sustainable
management of tropical forests
Summary Report
4. Restoration, rehabilitation, reforestation and plantations

Markku Simula, Hosny El-Lakany and Ivan TomaselliPage 2
THEMATIC SUMMARY REPORT No. 4
RESTORATION, REHABILITATION, REFORESTATION, AND PLANTATIONS

1.

INTRODUCTION

Restoration, rehabilitation, reforestation and general forest plantations projects are undertaken for a varietyof environmental, economic and social objectives. The most common activities are those related torehabilitation of degraded lands and establishing productive plantations as well as to supply other forest
goods and services such as protective and amenity services.
Associated research projects, often with experimental nature, are essential to improve knowledge ontechnical and economic aspects and ensure establishment of enabling conditions for successful tree
plantation programmes (especially for high-value and indigenous species). Such projects can also help
establish and train national entities responsible for field activities and monitoring.
All ITTO–funded projects in this domain are intended to contribute to the realization of the ITTO Objective
2000 and the sustainable management of forest resources, taking into account relevant ITTO guidelines.
The projects must comply with the International Tropical Timber Agreement, particularly with Objective 1 (j)“To encourage members to support and develop industrial tropical timber reforestation and forest
management activities as well as rehabilitation of degraded forest land, with due regard for the interests oflocal communities dependent on forest resources.”
The ITTO Guidelines for the Establishment and Sustainable Management of Planted Tropical Forests
provide useful principles and recommended actions to help project formulators and implementers. Anotherimportant source of information is the ITTO Guidelines for the Restoration, Management and Rehabilitationof Degraded and Secondary Forests which specifically address the challenges of restoration of fragile andimpoverished land and degraded forests.

2.

KEY ISSUESHalting forest degradation which can lead to total loss of forest productivity with serious social, ecologicaland economic consequences both locally and nationally.

Replacing unsustainable forest use with sustainable management and utilization of forest resources withlong-term social, economic and environmental benefits for local communities and the nation at large. For
example, overgrazing leads to land degradation and the clearing of forests for pasture often acts as anincentive for irrational timber exploitation resulting in deforestation. This degradation process usuallyleaves behind a social legacy of poverty and loss of community rights due to increasing pressure on
land.



Diversification of the tropical timber supply by plantations due to dwindling production from naturalforests which is a major concern in most producing countries.



There is often little clarity about the long-term objectives of programmes and projects beyond planting
any kind of trees. Therefore, the choice of species may be inappropriate, reforested areas may not be
maintained, and when harvesting of mature trees starts, there may be no markets for products.



Local participation in the implementation of tree planting projects is often neglected or minimal resulting
in conflicts in the rights of the land to be planted and the use of forests. Projects may not meet the
expectations of the forest dwellers and adjacent populations and they may not benefit from the activities
realized.



Reforestation projects may be promoted with local participation but without due consideration of theneed to ensure the flow of economic benefits for the people who easily lose their interest in maintainingreforested areas if there are no tangible incentives.



Illegal logging may continue in the area in spite of on-going efforts to restore natural forests and toestablish new planted forests. Illicit activities may continue to be practiced because they generatePage 3
employment and income for some community members while undermining the economic feasibility of
restoration and reforestation efforts.
Engaging local communities, farmers, the private sector, NGOs and other stakeholders in forest
restoration and plantation development and maintenance is often limited in government-led programs.



Inappropriate choice of suitable species, provenances and sites for reforestation is often due to lack ofadequate information.



Activities and results of projects are frequently inadequately recorded and therefore valuable
experiences cannot be disseminated.

In some afforestation projects the economic feasibility of plantations may be demonstrated, but
promotion with the private sector, the main source of expected future financing, is lacking.



Lack of economic information often makes it difficult to assess and promote restoration and planting
activities.



Projects have rarely pragmatic exit strategies beyond the project completion date and due to terminationof external support activities they may collapse.

3.

LESSONS LEARNED

Project designThe objectives of reforestation projects are often too ambitious, their duration is too short, and involving
local communities based on a participatory approach suffers from a lack of experience. Proposed
outputs are in many cases excessive in relation to proposed inputs. Multiple objectives and projecting
unattainable results should be avoided;

There is a tendency to make over-optimistic assessment of risks which can have negative effects
particularly on projects divided into successive phases. Project planners need to carefully assess what isachievable.



The concept of community development is a fundamental element of restoration and reforestation
projects in all the tropical regions even in cases where the population density is low.

Integration of agroforestry activities can be a decisive element for the generation of benefits to farmers
particularly, during the first years of the project.

Failure to achieve some objectives can be due to inappropriate, even erroneous identification andinvolvement of partners and beneficiaries.



In addition to community groups, small-scale nursery operators and private tree farmers can be a very
important component of the project strategy.

Projects implemented close to communities that do not benefit directly from project activities may sufferfrom unforeseen risks due to pressure from other land uses.



If prevalent, illegal logging needs to be addressed to ensure economic sustainability of forest restorationand plantation projects.

Project results tend to mostly depend on the ability to capture the interest of partners and ensure theirproactive cooperation. This is in turn dependent on their participation during project formulation.

When population density increases, tenure in planted forests becomes a real issue and needs to be
specifically addressed. However, this may fall outside the project scope and contingency plans toaddress this risk need to be considered from the outset.

Page 4
Project implementation


Geographically extensive projects can be faced with diverse demands by a large number ofstakeholders. Lack of active commitment on the part of some of them may become a major pitfall,leading to delays in the implementation of activities, a rapid turnover of unmotivated teams and delays indissemination and reporting. In regional projects of this kind, all the interests need to be incorporated in abalanced way.



If a project was initially planned to be implemented by a government agency, but no progress could beseen, implementation may be assigned through subcontracting to a competent NGO with track record on
successful field-level activities.



The success of a project depends on the high level of commitment and professional skills of the project
teams and the participating government forest administration staff. Necessary skills include bothtechnical and social aspects.

Training on the ground is usually highly needed. It should be mainly practical and training materials
broadly available. Study trips abroad, particularly to neighboring countries, can be valuable eye openers.

Project coordinator may spend a lot of her/his time managing the overall communication, logistical,
financial and administrative aspects of the project at the expense of its qualitative monitoring.



Monitoring and evaluation of project implementation, through self-evaluation workshops and stakeholder
meetings, contribute to smooth project execution.



Several projects have not created any dissemination mechanisms which limit project impacts. The
dissemination and exchange of experiences and results is a necessary activity in all restoration andreforestation projects. However, the effectiveness of dissemination is jeopardized if the results were notpublished or communicated to stakeholders.



Delays during the implementation could happen due to political changes in the country and other factors
such as security concerns and tenure issues.

Some forest restoration projects are implemented assuming a second phase would follow immediately.
Consequently, some intended activities may not be implemented. The project plan should haveprovisions for a situation in which the subsequent phase of support is delayed or may not come forward.

Mixed co-management between the local NGO’s in charge of organization and dissemination and thegovernment forest agency for technical assistance has been an excellent arrangement in many cases
but the experience shows that it requires clarification of partner roles and commitment to meeting
deadlines.

Training of community level trainers can be another success element in the project strategy. Training at
the basic level is the key. Collaboration between government agencies and NGOs in organizing training
improves impacts and efficiency.

Because subsequent funding is sometimes not obtained, actions initiated by some projects may have tobe halted half-way through, to the disappointment of rural beneficiaries who were the most adversely
affected by forest degradation. This can lead to loss of credibility and lack of continuing motivation
among all the actors involved.



Delaying the distribution of the planted forest management plan among stakeholders restricts its use andimpact.

Participation and partnerships


A forest planting project is often a good way to start a process of local participation, to make community
members aware of the sustainable forest management concepts and the importance of restoration andreforestation. Specific action is needed thereafter to convert this awareness into action.

Page 5

Sustainable timber production can be viable and realistic for local stakeholders only after necessary
steps have been taken for community development involving services, education, health care and otherdevelopments.



It has proved to be an extremely difficult task to find suitable livelihood alternatives in degraded areas
and make them adopted by people within a short project period.



A successful planning process at community level can include (i) a well-conducted consultation process,(ii) technical and economic viability of different production options; (iii) preparation of the forest
management plan and its swift approval by the authorities, and (iv) building up of stakeholders’commitment to implement the plan.



Before starting on project activities, a preparatory stage may be needed for observation and evaluationof the on-going practices and initiatives by the population which can be suitable for adaptation andintegration, rather than bringing something entirely new from outside which may not work in practice.



Identification of beneficiaries and partners is essential and preliminary workshops and meetings areuseful for this purpose. However, geographical characteristics, language barrier and communicationdifficulties have often led to partial understanding of the problems and possible solutions thereby
reducing full achievements of the targeted results. Building up an effective participatory process may
often require more time than the duration of the projectThe high cost/benefit efficiency of restoration and plantation projects is essential for success for local
community participation. The economic and social impacts of tree planting projects are usually positive
but need to be practically demonstrated to local people.



Decentralization and democratization can both pave the way for people’s own initiative in sustainable
development including forest restoration and plantation development.



Population has often difficulties to see the benefit link between degradation and reforestation. This isparticularly the case when unsustainable wood harvesting continues for basic livelihood while replanting
is being promoted. People should consider replanting more an economic than environmental activity to
get truly motivated.



Distributing seedlings free may lead to negligence in the handling and planting. However, sometimes
local people are so poor that even a token price for seedlings could not be afforded.



Local communities should understand the need to set up a local committee for forest protection andreforestation; this often greatly contributes to ensuring effective community participation in theachievement of the project outputs;

Women’s participation is particularly important in nursery operations, fuelwood collection, NTFP-related
activities and project management. Their leadership can often ensure that projects become sociallyacceptable and local stakeholders broadly engaged in implementation.



The social capital through solid community organization and good relations between the forest authority
and local populations as well as demonstrated results in the field are likely to lead to projectsustainability. This may be sufficient but formal monitoring and agreements on follow-up actions areoften necessary.

Restoration

In certain situations restoration of degraded forests may not be justified due to their limited economic
outcomes although it may be desired by community members. In such cases it is better to concentrateon plantations which can yield economic returns from wood and NTFPs.



Local populations can significantly contribute to restoration of degraded areas by enhancing low-cost
natural regeneration through protection against fire, uncontrolled grazing and illegal logging, but theyneed to be provided with incentives to make this happen. Good basic organization of the community has

Page 6been the main factor for success for the involvement of local people in restoration and plantation
activities.


Mobilization of adequate funds, technical assistance and human resources is usually needed forcontinuation of restoration and reforestation activities. This is a critical element of exit strategies for timebound projects. One source of financing can be revenue from seedling sales of a community-operated
nursery but the problem can be that people often are too poor to pay even a low price for seedlings. In
such cases other funding would be needed.

PlantationsIn plantation projects for production purposes, it is often questionable to choose species to be planted in
the absence of adequate future demand-supply studies. On the other hand, the available information isalways imperfect and the right decision becomes known only with hindsight.

Tree planting can be efficient and proceed according to the schedule but tending is often totally missing.
If economic incentives for tending cannot be provided, at a minimum, the government agency needs toprovide technical advice.



Demonstrating the potential of establishing high quality production plantations is not enough as further
action is often needed to fully convince local communities, farmers and the private sector on theireconomic merits.

Adequate field-level studies of economic, financial, social and environmental feasibility of forest
plantations are necessary to justify investment by the private sector, farmers, local communities or thegovernment.

Competitive industrial plantations in the tropics need state of the art technology, detailed surveys, andadequate research and development.

Good selection of species and sites, high-quality genetic material and improved techniques are key
ingredients of successful plantation projects. Forest investors prefer to have plant material of high quality(even if paying more) and well suited species for the sites.



If elaboration of the management plan for planted forest is completed only at the end of the project,
implementation cannot be ensured. There should be a clear strategy for how implementation can besupported in a systematic way.



Agroforestry activities are important in generating short-term income thereby ensuring farmers’participation. On the other hand, some agroforestry practices may lead to larger than optimal spacing ofplanted trees (but the trade-off is less important than ineffective community participation).



A local forest fund financed through a small tax on the sales of forest products, even though modest, cansupport critical activities related to forest plantations and restoration even in cases where the main
project support has terminated.



Private companies can be convinced to participate in the funding of follow-up activities with smallholders
and communities to increase wood supply for their industrial plants.

ResearchA research element is essential to systematize technical knowledge on selection of sites, species andprovenances, methods of propagation and maintenance of planted areas.

Studies and research in this area suffer from inadequate attention to the acceptance of technologies bycommunities, farmers and the industry thereby limiting adoption of improved practices.



Lack of relevant documentation on previous experiences at the project start and on obtained results after
project completion seriously limits sharing of lessons learned. Good experimental works are often being
carried out but very little is documented, analyzed and systematized.

Page 7The success of reforestation projects should be underpinned by good science, as well as the keennessof the scientists to pursue it.



Recording systems of technical activities are usually needed to provide a basis for systematization of theknowledge obtained. If there is no monitoring and recording system for activities and their outcomes, it
becomes impossible to verify and assess achievements in detail.

Technical research projects tend to be focused but there is also a need to carry out research on social
impacts. Results can be valuable for private organizations or NGOs involved in the promotion ofrestoration, reforestation forest production.



Selection of multiple experimental sites is often over-ambitious, albeit reflecting a desire for scientificperfection. Multiple experimental sites should be avoided, especially if remote and difficult to access, as
logistical and administrative monitoring conditions can weigh down effective management and hinder
sustainability;

It is always important to ensure maintenance of surviving plantations and appropriate silviculture
operations in general but, in research projects on planted forests, this is particularly vital. Research plots
may be cleared or burned by uninformed or misinformed local communities leading to a serious loss of
costly investments.



Close relationships are needed between the research (the species, plantation and progeny trials, etc.)
and the users of results (the private and state forest companies, forest communities, farmers, etc.).
Working closely with the potential users of the research outputs has the benefit of minimizing any
mismatch between research and operational activity.

Establishment and strengthening of a specialized unit for R&D can be a good strategy to ensure thesustainable use of the acquired knowledge.

Executing agencies and beneficiaries tend to consider that research and development projects aremainly the responsibility of external financial support. Without follow-up financial support, project outputs
are sometimes (if not often) ignored or neglected despite their high cost.



The minimum duration of forest research projects, which incorporate aspects of pure and appliedresearch, is around five years but often much longer. Therefore, long or medium-term technical support
may have to be ensured. Although a research project extension may be needed, additional funds may
not be requested. This reflects optimistic underestimation of the time needed to implement research
activities.

4.

GOOD PRACTICES

Project design and implementation
Good project preparation correctly identifies stakeholders, beneficiaries and partners to be actively
involved.



Activities should be demand driven; adequate control and decision mechanisms should be put in place;and permanent staff dedicated to the project should be ensured.

The preparatory phase of the project may take longer than planned but it is essential to ensure goodparticipation of local communities.



There is a need for careful selection of partners and adequate consultation to clarify expectations andcommitments during the planning stage. Participation of appropriate educational and research
institutions is essential to research and training activities carried out by the project.

As a proven practice, the project should reflect strategies in line with the national forest policy, taking into
account the specific local context.

Page 8


A good preparation process includes sufficient surveys and consultations with the stakeholders in orderto clearly identify the viability of SFM in the target area, requirements for approval of the forest
management plans, and the roles and necessary commitments of the stakeholders. A feasibility study or
pre-project study can be useful, particularly in larger projects or when the available information is notadequate for project design.

Adaptive implementation is a good practice. Changing conditions or errors in the project design may leadto adjustment of the project strategy. For example, the activities may have to be geared towards effective
demand rather than to increased supply. This could apply, e.g., to the establishment of a productive
nursery, demonstration plantations on a large scale, and promotion of native species.

Restoration and rehabilitation


Restoration projects involving enrichment planting can have significant impacts when:o guidelines on enrichment planting techniques are developed and used nationally; ITTO’s guidelines
for restoration provide a useful framework for such national guidelines.
o adequate reconnaissance surveys of the areas to be planted are undertaken to match species to site
conditionso accumulating knowledge is used in further development of techniques and practices;o establishing wildlife corridors and other approaches to improve connectivity in fragmented forests
hampered by timber harvesting and other land use practices

Over-mature seedlings that cannot be used in rehabilitation planting can be provided to schools andother community groups for use in amenity plantings.

The establishment of agroforestry plantations by local farmers can be a viable alternative economic
activity to pure tree plantations in the rehabilitation of some degraded areas. However, projects should
demonstrate the significant economic and social potential that agroforestry can have.

Projects involving tree plantingWhen designing a plantation project, management planning and timber harvesting should be considered.
Clear understanding of targeted markets would help avoid investment failures.



Dedicated seed collection/processing teams can be designated to collect and process seeds from SPAs,
preferably for use in all nurseries. Training in safe tree climbing is necessary.



Experience on raising seedlings should cover both local and exotic species for commercial plantation
development and restoration/rehabilitation of natural forests.

Efficient and safe methods of transporting seedlings are necessary, thereby enhancing survival rates.

A visual method for determining when planted seedlings require fertilizer such as nitrogen, phosphorus
and potassium (NPK) should be developed. Research is usually required to understand how much
fertilizer to apply and what is the most efficient way to apply it to obtain maximum benefit.

Tree planting projects can be successful when:o seed production areas are established and seed quality standards are developedo all the mother trees selected for the plantations and progeny trials are mapped and recorded, toenable easy identification;o the trials established for basic species selection, species and progeny trials consider both local andexotic species, are well maintained, and used for on-going research, learning and teaching;o nurseries are well maintained and are used for on-going research while producing planting materials;
o procedures for grading and selecting high quality seedlings are in placeo planting models successful at comparable site, climatic and economic conditions; are developed;Page 9o climatic and edaphic constraints are respected to avoid planting haphazardly and/or at the wrong
time;
o the status of soils (structure, drainage, fertility, degradation risks, etc.) covered by various types ofplantation is carefully studied and managed;o financial and economic analyses demonstrate that afforestation and restoration options, newsilviculture systems and planting models are cost-effective and economically viable to promote
community and private sector investment;o economic and financial analyses are carried out on different in order to determine the appropriate
cost structures;o economic and financial incentive mechanisms are created for the benefit of local communities and to
attract the private sector;
o appropriate technical support and supervision by the government are provided to ensure high rates
of seedling survival in planting by the private sector and communities;o an extension strategy is an integral part of the project including dissemination activities including onsite training activities;o staff and students continue to be trained;o support is provided to research into further developing and refining innovative silviculture systems
and planting models for restoration of degraded forests and lands;o good models of public-private partnership are identified which could be replicated ;o risk assessment considers externalities such as the availability of appropriate planting stock andplanning of alternative planting schedules in order to avoid delays in field activities;
ResearchPartnerships between universities, research and development institutes, NGOs and local communities
are useful to ensure demand driven research and sharing of responsibilities.



Research projects often need to be complemented by targeted activities to raise awareness among
beneficiaries and decision-makers, technical training and extension.

Preparing and disseminating reports on successes and gaps in the existing knowledge is a good practice
to avoid repeating costly experimental or demonstration plots which have already failed.

Transfer of technology can involve publication of scientific research results, technical and other reports,
training courses, handbooks and brochures as well as participation in regional and international
conferences.



A combination of state-of-the-art technology and local R&D efforts with participation of local woodprocessing companies is often an appropriate approach to develop technologies for value-addedindustry utilizing tropical plantations.



The continuity of research projects can be ensured through the appropriate promotion of their results andthrough elaboration of new follow-up projects.



A complete record of project activities, including monitoring and evaluation of positive and negative
outcomes, helps replicate success and avoid repeating failures. A research and development unit may
be necessary to compile and disseminate the information.

Strengthening of networks linked to the project before and after its completion, as well as linkages withother forest organizations working in the same field may be necessary for mainstreaming of project
results.

Page 10
ParticipationIn order to find solutions to increasing environmental degradation related to deforestation and to combat
forest degradation, projects need to particularly focus on community development and other social
issues related to SFM.

Good practices for awareness raising and organization of community members include (i) building on
traditions of working in groups and through communities’ own organizations, and (ii) informing people
that their livelihood depends on the protection of vegetation and that tree planting is a good, often theonly, way to improve their livelihoods in degraded areas.

Participative rural appraisal and broad-based campaign to promote reforestation are often the key tosuccess. Community participation can be best organized through formal committees which ensure
systematic approach by the community to development.



Engaging local communities living around the experimental sites and placing trust in local forest owners
can reduce the risk for destruction of planted plots. Incentives may have to be provided to mitigate the
risk.



Clear and transparent rules and mechanisms for sharing of benefits between the government, thecommunity and other actors undertaking forest plantation are often necessary and need to be clearlycommunicated. Benefit sharing through contractual arrangements could be better than throughregulatory rules.



Demonstration of the economic and social impact of tree planting projects to local people is a feature of
successful projects.

Sustainability
Measures to ensure the uptake of the outputs and continuation of some project activities after completion
is often necessary.

Periodic assessment of experimental plantations (including assessment of nurseries, propagation andirrigation systems) is necessary to determine silvicultural priority activities that should be continued
together with long-term maintenance and protection of planted areas.

The acquired knowledge and results need effective dissemination on websites and through other meansin order to share and exchange information with other research or support organizations which could
potentially contribute to future initiatives in the field.

Assessment of policy implications of pilot and demonstration projects is necessary for preparation ofadjustments in the policy and institutional framework to ensure mainstreaming of the project results.



A forestry fund can be the determining factor for sustainability of reforestation activities.

Page 11
SOURCESThis thematic summary is based on the ex-post evaluation reports of the following projects:
PD 68/01 Rev.2 (I)PD 69/01 Rev.2 (I)TRAINING IN REDUCED-IMPACT LOGGING IN GUYANA
IMPROVED AND DIVERSIFIED USE OF TROPICAL PLANTATION TIMBER IN
CHINA TO SUPPLEMENT DIMINISHING SUPPLIES FROM NATURALFORESTS
PD185/91 Rev.2 (F) II SUSTAINABLE FOREST MANAGEMENT AND DEVELOPMENT INPENINSULAR MALAYSIA - PHASE II
PD026/93 Rev.1 (F)DEVELOPMENT OF BENTUANG KARIMUN NATURE RESERVE AS A
NATIONAL PARK - PHASE I
PD018/94 Rev.1 (F) II PARTICIPATORY FOREST DEVELOPMENT IN THE ALTO MAYO REGION FOR
THE SUSTAINABLE MANAGEMENT OF MOIST TROPICAL FORESTS
PD013/96 Rev.1 (F)
MULTIPLE-USE MANAGEMENT IN THE MACAUA NATIONAL FOREST BASEDON RUBBER ESTATES - PHASE I: DEVELOPMENT OF MASTER PLAN TOSUPPORT COMMUNITY ORGANIZATION
PD017/97 Rev.3 (F)PILOT PROJECT FOR THE REFORESTATION AND REHABILITATION OF
DEGRADED FOREST LANDS IN ECUADOR
PD044/99 Rev.2 (F)IMPLEMENTATION OF A MANAGEMENT PLAN BY THE CHIQUIACA ANDOROZAS COMMUNITIES IN TARIJA, BOLIVIA
PD051/99 Rev.2 (F)SUPPORT TO GRASSROOT FORESTRY PROMOTION INITIATIVES IN THE
YOTO AREA
PD041/00 Rev.3 (F,M) MODEL DEVELOPMENT TO ESTABLISH COMMERCIAL PLANTATION OF
DIPTEROCARPS