United States

Department of 

Agriculture

Forest Service

Pacific Northwest

Research Station

General Technical

Report

PNW-GTR-604

February 2004

SUSTAINABLE PRODUCTION

OF WOOD AND NON-WOOD

FOREST PRODUCTS

Proceedings of the IUFRO Division 5

Research Groups 5.11 and 5.12,

Rotorua, New Zealand, March 11–15, 2003
Technical Coordinators: 

Ellen M. Donoghue is a USDA Forest Service Research Social Scientist, and Gary L. Benson is a USDA Forest Service

Staff Ecologist, Pacific Northwest Research Station, P.O. Box 3890, Portland, OR 97208.

James L. Chamberlain is a USDA Forest Service Non-Timber Forest Products Technologist, Southern Research Station,

1650 Ramble Road, Blacksburg, VA 24060

Design and Layout: 

Cover design/graphic layout of proceedings: Jenny Beranek, Beaverton, Oregon, USA

Cover graphic: Frank Vanni and Gary Benson, USDA Forest Service, Pacific Northwest Research Station.

Cover photo credit: Robert Szaro, USDA Forest Service, Pacific Northwest Research Station; Arvind Boaz, Forest

Department, Devendra Nagar, Raipur, Chhattisgarh, India; Olga Boaz, University of Central India, Raipur, India.

On the cover: Central photo taken in area of Rotorua, New Zealand, site of the 2003 IUFRO Conference. Surrounding 

photos depict global examples of wood and non-wood forest products and activities related to these products. Products and

activities (clockwise from upper left corner) include: Alaskan log products, birch-bark peeling; wood milling, preparation

and transport, rubber tree tapping; and Tendu leaf transport and picking. 

Papers were provided in camera-ready form for printing by the authors, who are therefore responsible for the content and accuracy. Opinions expressed

may not necessarily reflect the position of the U.S. Department of Agriculture.

The use of trade or firm names is for information only and does not imply endorsement by the U.S. Department of Agriculture of any product or service. 
SUSTAINABLE PRODUCTION OF WOOD 

AND NON-WOOD FOREST PRODUCTS

Proceedings of the IUFRO Division 5 

Research Groups 5.11 and 5.12, 

Rotorua, New Zealand, March 11–12, 2003

Ellen M. Donoghue, Gary L. Benson, and James L. Chamberlain, 

Technical Coordinators

Published by:

U.S. Department of Agriculture

Forest Service

Pacific Northwest Research Station

Portland, Oregon

General Technical Report

PNW-GTR-604

February 2004

In Cooperation with:

International Union of Forest

Research Organizations (IUFRO)
When you know: Multiply by: To find:

Centimeters (cm) 0.394 Inches (in)

Cubic feet (cf) 5 Board feet (bf)

Cubic meters (m3) 35.3 Cubic feet (ft3) 

Grams (g) 0.0352 Ounces

Grams (g) 0.0022 Pounds

Hectares (ha) 2.47 Acres (ac)

Kilograms (kg) 2.205 Pounds (lbs)

Kilometers (km) 0.62 Miles (mi)

Meters (m) 3.28 Feet (ft)

Milliliters (ml) 0.03378 Ounces (fluid)

Square kilometers (km2) 0.386 Square miles (mi2)

Trees per hectare (t/ha) 0.405 Trees per acre (t/ac)

When you know: Multiply by: To find:

Acres (ac) 0.405 Hectares (ha)

Inches (in) 2.54 Centimeters 

ABSTRACT

Donoghue, E.M.; Benson, G.L.; Chamberlain, J.L., tech. coords. 2004. Sustainable production of wood and 

non-wood forest products: Proceedings of IUFRO Division 5 Research Groups 5.11 and 5.12, Rotorua, New

Zealand, March 11–15, 2003. General Technical Report PNW-GTR-604. Portland, OR: U.S. Department of

Agriculture, Forest Service, Pacific Northwest Research Station. 120 p.

This proceedings is a collection of 18 papers and extended abstracts based on talks presented at the International

Union of Forest Research Organizations (IUFRO) All Division 5 Conference, held in Rotorua, New Zealand,

March 11–15, 2003. This conference emphasized the many ways that forest products research can contribute to

sustainable choices in forest management. The two IUFRO Research Groups represented in this proceedings are

the Sustainable Production of Forest Products Research Group (5.12) and the Non-wood Forest Products Research

Group (5.11). The papers address many aspects of wood and non-wood forest products including: forest management; product development; economic development implications; local, national, and international protocols;

assessments; and research strategies. 

KEY WORDS: Forest products, non-timber forest products, non-wood products, sustainable forest management, 

wood products. 

ENGLISH/METRIC EQUIVALENTS
Proceedings from IUFRO Division 5, Research Groups 5.11 and 5.12

CONTENTS

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1

Ellen M. Donoghue, Gary L. Benson, and James L. Chamberlain, Technical Coordinators

A. WOOD PRODUCTS

ASIA

1. The Future of Plantation Forests and Forest-Based Industry in Indonesia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5

Aulia L.P. Aruan

2. Reduced Impact Logging: the Tropical Forest Foundation Experience in Indonesia . . . . . . . . . . . . . . . . . . . . . . . . . .15

A.W. Klassen 

3. Succession of Fallows after Shifting Cultivation in Sungai Sarawak Basin, Kuching, Sarawak . . . . . . . . . . . . . . . . . .19

I.B. Ipor and C.S. Tawan

NORTH AMERICA

4. Sustainable Wood Production in the Pacific Northwest . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .29

Robert Deal, and R. James Barbour

5. Integrating Social Science with Forest Products Research: The Benefits of Addressing All

Dimensions of Sustainability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .35

Ellen M. Donoghue

MULTINATIONAL

6. Life Cycle Assessment of Wood Floor Coverings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .39

B. Nebel, B. Zimmer, and G. Wegener

B. NON-WOOD FOREST PRODUCTS

ASIA

7. Conservation and Management of Himalayan Medicinal Plants in Nepal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .45

Nirmal K. Bhattarai and Madhav B. Karki

8. Community Based Sustainable Management of Tendu Leaves (Diospyros Melanoxylon Roxb.)

A Case Study of Harda District of Madhya Pradesh, India . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .51

Arvind Boaz and Olga Boaz

9. The Economic Aspects of Agave Americana: A Case Study of its Sustainable Management 

by a Tribal Co-Operative Society in Jagdalpur District of Chhattisgarh, India . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .63

Olga Boaz and Arvind Boaz

10. Gum Tapping in Sterculia Urens Roxb. (Sterculiaceae) using Ethephon . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .69

M.N.B. Nair

11. The Endangered Bark . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .75

Bikash Rath
AFRICA

12. Developing Inventory Methodologies for Non-Wood Forest Products: Lessons Learned 

from an Analysis of Case Studies in African Countries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .83

Wulf Killmann, Francois Ndeckere, Paul Vantomme, and Sven Walter

NORTH AMERICA

13. The U.S. Nontimber Forest Products Assessment: Overview and Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .89

Susan J. Alexander

14. A Strategy for Nontimber Forest Products Research and Technology Transfer 

for Southern United States . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .91

James L. Chamberlain

15. Many Voices, Many Values: Community Economic Diversification through Nontimber 

Forest Products in Coastal British Columbia, Canada . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .93

Darcy Mitchell 

16. Co-Management for Nontimber Forest Products in Coastal British Columbia, Canada . . . . . . . . . . . . . . . . . . . . . . . .99

Brian D. Titus, Wendy Cocksedge, Charlotte E. Bell, Darcy A. Mitchell, and William T. Dushenko

MULTINATIONAL

17. Developing Methodologies for the Elaboration of National Level Statistics on Non-Wood 

Forest Products: Lessons Learned from Case Studies and from a Global Assessment . . . . . . . . . . . . . . . . . . . . . . . .103

Wulf Killmann, Francois Ndeckere, Paul Vantomme, and Sven Walter

18. Benefit Sharing Arrangements in the Field of Non-Wood Forest Products: Status 

and Links to Certification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .111

Sven Walter, Paul Vantomme, Wulf Killmann, and François Ndeckere
1 Research Social Scientist, 2 Staff Ecologist, U. S. Department of Agriculture, Forest Service, Pacific Northwest Research Station, P.O. Box 3890,

Portland, OR 97208.

3 Non-Timber Forest Products Technologist, U.S. Department of Agriculture, Forest Service, Southern Research Station, 1650 Ramble Road, Blacksburg,

VA 24060.

Proceedings from IUFRO Division 5, Research Groups 5.11 and 5.12

INTRODUCTION

Ellen M. Donoghue1, Gary L. Benson2, and James L. Chamberlain3, Technical Coordinators

The International Union of Forest Research Organizations

(IUFRO) All Division 5 Conference in Rotorua, New

Zealand, March 11–15, 2003, focused on issues surrounding sustainable forest management and forest products

research. As the conference title “Forest Products Research:

Providing for Sustainable Choices” suggests, the purpose

of the conference was to consider scientific progress

towards meeting the rapidly increasing demands for forest

products in the context of social, economic, and environmental considerations associated with sustainable forest

management. Conference attendees addressed challenges

and opportunities of sustainable forest management through

exchanges of knowledge and experience from presentations,

field trips, and formal and informal discussions about forest

products research at national and international levels.

This publication is the 3rd proceedings of the IUFRO

Division 5 Sustainable Production of Forest Products

Research Group 5.12. Two prior proceedings were from the

1997 All Division 5 conference in Pullman, Washington,

USA (Barbour and Skog 1997) and the 2000 IUFRO World

Congress in Kuala Lumpur, Malaysia (Barbour and Wong

2001). New to this proceedings, however, is the inclusion

of papers from the Non-Wood Forest Products Research

Group 5.11. Many similarities emerge when both wood and

non-wood research is set in the context of social, economic,

and ecological dimensions of sustainable forest management.

This suggested a natural combining of the papers from the

two Research Groups for this publication. Both Research

Groups focus on the development, evaluation, and application of forest products. Both address complex issues of

ecological integrity and economic development. Also, both

grapple with the ways that research is providing for sustainable choices for forest-based societies around the world.

1

Although all research groups of Division 5 participated in

the conference, this proceedings includes only those papers

from the 5.11 and 5.12 Research Groups.

The Sustainable Production of Forest Products Research

Group 5.12 focuses on global issues regarding sustainably

produced forest products. It provides a forum for researchers

who study the production of wood and other forest products

in a sustainable manner. Among other things, the group

members examine questions regarding green certification,

life cycle analysis, wood products from sustainable managed forestry, and the economic contribution of wood 

products to sustainable forestry.

The Non-Wood Forest Products Research Group 5.11

focuses on the discovery, development, and wise use of

non-wood products found in forests around the world. This

Group conducts research on medicinal and aromatic plants,

edible plant products and forest fungi, resins and gums, and

many other non-wood products that have long been important for rural and native people for cultural, subsistence,

and economic reasons. The research focuses on a variety of

topics including harvesting techniques and effects on ecological integrity, techniques for extracting and synthesizing

compounds, traditional and non-traditional uses of nonwood products, and commercial development opportunities.

The papers on sustainable wood forest products discuss

the history of forest disturbance and wood removal in temperate and tropical regions, especially Indonesia, and the

cultural and silvicultural practices needed to sustain forest

wood production and stable forest ecosystems. Effects of

timber harvesting on a non-sustainable basis are discussed,

as well as the effects of government and forest management

policies striving to achieve sustainable wood production.
Regional assessments and future projections (based on

modeling) are discussed as potential aids to achieve sustainable wood production. The identification of barriers to

achieving sustainability is also discussed. The role of social

science is linked with the ecological, economic and social

aspects of forest management to indicate its importance to

sustainability. The relationships between integrated research

and sustainable forest management and production are also

discussed.

The papers on non-wood forest products address research,

management, and economic development challenges, as

well as opportunities, associated with increased demand for

non-wood products and increased pressure on forest ecosystems. Specific non-wood products discussed in the papers

include medicinal plants in Nepal, and barks, leaves, and

resins in India. Harvesting methods intended to increase

ecological integrity and sustainable economic development

opportunities are discussed. The design of inventory protocols and the development of production and trade statistics

are discussed as ways to contribute to resource management,

national and international policymaking, and economic

development strategies. The role of non-wood products in

employment and income generation for rural people is

addressed in a number of papers. Research strategies for

non-market and market non-wood products and the role of

research institutions in the economic development of forestbased communities are discussed. Several papers talk about

the ways that assessments of non-wood products contribute

to sustainable development and resource management at

national and international levels. The terms non-wood forest

products and non-timber forest products are used in a number of papers and can be considered synonymous, unless

otherwise stated. 

Full papers or extended abstracts are included for 

the majority of conference sessions of the 5.11 and 5.12

Research Groups. Papers were provided for printing by the

authors, who are therefore responsible for the content and

accuracy. Opinions expressed may not necessarily reflect

the position of the U.S. Department of Agriculture. The use

of trade names is for information only, and does not imply

endorsement by the U.S. Department of Agriculture of any

produce or service.

ACKNOWLEDMENTS

We thank Jenny Beranek, Judy Mikowski, Seth White,

and Jamie Barbour for their assistance in the production of

this proceedings.

LITERATURE CITED

Barbour, R.J.; Skog, K.E., eds. 1997. Role of wood 

production in ecosystem management: proceedings of

the Sustainable Forestry Working Group at the IUFRO

All Division 5 Conference, Pullman, Washington, July

1997. General Technical Report FPL-GTR-100.

Madison, WI: U.S. Department of Agriculture, Forest

Service, Forest Products Laboratory. 98 p.

Barbour, R.J.; Wong, H.H., tech. coords. 2001. Sustainable 

production of forest products 2000: proceedings of

IUFRO Division 5 Research Group 5.12, Kuala

Lumpur, Malaysia, August 2000. General Technical

Report PNW-GTR-520. Portland, OR: U.S. Department

of Agriculture, Forest Service, Pacific Northwest

Research Station. 72 p.

2
SECTION A

WOOD

PRODUCTS
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Proceedings from IUFRO Division 5, Research Groups 5.11 and 5.12, number 1

THE FUTURE OF PLANTATION 

FORESTS AND FOREST-BASED

INDUSTRY IN INDONESIA

Aulia L.P. Aruan1

ABSTRACT

The development of forest-based sawmilling and ply milling industries (1980s-1990s) and pulp and paper industries 

(mid 1990s) plays an important role in forest resource management. Wood supply from plantation forests will have to provide an increasingly larger share of the supply in the near future, particularly of pulp logs. Technology and marketing problems are emerging in processing logs from those plantations. The development of industrial forest plantations is focused 

on meeting the need of pulp and paper industries’ raw material, and therefore tree species are dominated by fast growing

species such as Acacia spp. and Eucalyptus spp.

Government policy established more forest-based industries to promote forest based and timber processing industries in

the country. Indonesia’s forest-based industry comprises a mix of non-panel forest-based industry of 81 pulp and paper mills

(12 integrated pulp and paper mills; 66 paper mills; 3 pulp mills), and panel-based industry of 4,400 sawmills, 120 plywood

mills, 39 block board mills, 13 chip mills, 2 Medium Density Fibre mills. The rapidly expanded Indonesian forest-based

industries were not well supported by the long-term sustainable supply of raw materials. The forest-base has been supplied

by an abundance of quality raw material with relatively low production costs. There were minor efforts to increase efficiency

and competitiveness. There is an imbalance between log supply and demand. The technological aspects of the forest-based

industry are also neglected. Observations are that most of industries were built in the 1980s and the technology is now inefficient and thus competitiveness in the global market is low. Machinery is out of date and can process higher grades and

larger log sizes, but not wood wastage and smaller diameter logs.

The sustainability of Indonesian pulp and non-pulp plantation forests and processing industries should be clearly planned

and implemented. This paper provides a national review of Indonesian plantation forests, their processing industries’

restructuring and potential markets.

KEY WORDS: Plantation, industry, conservation, restructuring.

5

Since early 1970s, Indonesia’s growth-oriented development over the last three decades has led to unsustainable

forest management. Pressures on natural forests for timber

production have been expanding steadily. The development

of forest-based industry especially sawmillling and

plymilling industries (1980s–1990s) and pulp and paper

industry (since mid 1990s) plays an important role in forest

resource management. In addition, further pressures such

as forest fires, forest conversion to non-forestland uses, 

and illegal logging activities have been involved. 

INTRODUCTION

Indonesia is a diverse tropical country of approximately

220 million people. Forest areas are about 60 per cent of

the land area. The forestry sector is important, and it provides a significant contribution to the Indonesian economies.

Its contribution to the GNP is approximately 6 per cent. It

is estimated that the forestry sector provides employment

for approximately 3.7 million employees. The forest is

home to some 40 million people. 

1Aulia L.P. Aruan is with the Ministry of Forestry – Republic of Indonesia. He is now seconded as a forest policy advisor, Deutsche Gesselschaft f_r

Technische Z_sammenarbeit (GTZ) GmbH – Strengthening the Management in the Ministry of Forestry Republic of Indonesia (GTZ – SMCP) - Gedung

Manggala Wanabakti Blok VII – 6th floor Jalan Gatot Subroto - Jakarta 10270 INDONESIA.
Indonesian forestry is changing. In 1999, the Government

announced a new forestry law reflecting the forest reform.

The focus is to empower communities. Environmental 

concerns, social and industrial demand pressures and the

diminishing forest resource still constrain the sustainable

wood supply from natural forest.

The Ministry of Forestry has launched five priority 

programmes for forestry development during the period of

2001–2004, namely (a) combating illegal logging, (b) 

controlling forest fire, (c) restructuring the forestry sector,

(d) rehabilitation and reforestation, and (e) the decentralisation of forestry issues.

To avoid repeating growth before considering environmental aspects, the Government of Indonesia is adopting

policies for sustainable forest management by striking a better balance between economic, social and environmental

aspects. The economic aspect (e.g., economic growth) has

previously been the priority. Recently, greater emphasis has

been focused on the social aspect (e.g., social forestry) and

environmental aspect (e.g. rehabilitation of degraded forest

areas and combating illegal logging activities). The economic aspect (e.g., economic growth) has been a major

role. More recently, the environmental aspect of forestry

is also important for soil and water conservation.

The purpose of this paper is to briefly assess the role 

of policies followed by the government on the development

of Indonesian plantation forests. The paper will also review

the future of Indonesian plantation forests.

THE ROLE OF POLICY ON THE 

DEVELOPMENT OF PLANTATION

FORESTS

Guizol and Aruan (2002) analyzed the historical review

of policies followed by the Government on the development

of plantation forests in Indonesia. Those policies and development during the 1990s to early 2000s has contributed to

the current situation where more than 2 million hectares (ha)

of commercial plantation forest has been created. Figure 1

shows the historical development of plantation forests. There

are three major distinctive periods, i.e. the initial development (1980–1989), major development (1990–1997) and

consolidation/transitional development (1998 onwards).

Prior to 1981—Surplus Log Supply 

from Natural Forests

Prior to 1981 the main earnings from the export of 

oil and from forests was Dipterocarps (hardwood) logs for

export and domestic consumption. Major plantation forest

establishment prior to 1981 was mainly in Java when Tectona

grandis was first planted in 1880, and several trial plots

and pilot projects in outside Java were planted with a combination of fast and slow growing species such as Shorea,

Switenia, Agathis, Albizzia, Eucalypts and Acacias. Large

Teak plantation forest has been managed by a state-owned

forest company, especially in Java, which has the higher

population growth nationwide. In addition, plantation forests

were established not only for construction wood, but also

for fuelwood demand and erosion reduction.

Initial Development of 1980-1989

Non-oil earnings from estate crops were promoted by 

the Government during the mid 1980s. Laws and incentives

had been enacted but not the practical guidelines, consequently few plantation forests were established. After 1981,

a policy banning log exports was imposed and incentives

were introduced to encourage sawmilling and plymilling

industries. The development of these forest-based industries has occurred so rapidly that production inefficiency

and forest product quality has caused marketing problems.

Indonesia became a major tropical forest product producer

in Asia during this time period.

A range of government incentives was introduced in 

the early 1980s. A Presidential decree of 1980 introduced a

bond to natural forest concessionaires. It was called the

Reforestation Guaranty Fund (Dana Jaminan Rebosiasi/DJR).

This bond was redrawn when the natural forest concessionaires were not able to rehabilitate themselves. This was

supposed to be an incentive for them to invest in plantation

forests. But its result was unsatisfactory until the Government:

(a) decided to extend the plantation forests nationwide in

1984 and (b) changed it into a royalty, i.e., from DJR to

DR (Dana Reboisasi or Reforestation Fund/RF and this 

RF has been used to establish and extend the plantation

forests nationwide. 

In 1989, the Government anticipated that by the year

2000, the natural forests would not be in line with the

installed capacity of forest-based industries. Therefore, 

it set up a range of introduced incentives such as easier

access to the Reforestation Fund (RF) and land clearing

permits.

The plantation forest area was established with seven

main species, including the following commercial slowgrowing species: Acacia mangium, Eucalyptus deglupta,

Gmelina arborea, Parenthesis falcataria and Pinus merkusii,

and selected fast- growing species such as Peronema

canescens and Shorea spp. Private companies played a

major role in the establishment of plantation forests.

Major Development of 1990–1997

Introduced and ongoing incentives such as access to the

Reforestation Fund on joint ventures between private and

6
state-owned forest companies boosted the level of plantation forest establishment. Another incentive was access to

land. The annual rate of new plantation forest establishment

slowed down by the time of the tight money policy in 1991.

Impacts of political and economic crises have affected

Indonesia since early 1997. Large portions of the Reforestation

Fund have been misused, and plantation forest establishment remained far behind the targets. In addition, the

decrease in plantation forest establishment was also caused

by: the increase of illegal logging activities, low domestic

wood prices and the serious issue of deficit log supply to

the existing forest-based industries.

Consolidation/Transitional Period (from 1998 to 2003)

There are two types of plantation forests based on the

management regime, namely pulp and non-pulp plantation

forests. In 1996, a new Reforestation Fund procedure for

Government Capital Share and Reforestation Fund Loans

for the development of plantation forests defined the

Reforestation Fund financial schemes dedicated to joint

ventures. The plantation could be financed as follows: 14

per cent from Government Capital Share, 21 per cent from

Private Capital Share, 32.5 per cent from Reforestation

Fund loans, and the remaining 32.5 per cent from commercial loans. Now, the Reforestation Fund disbursement has

been stopped and so the former Government Capital Share

portion must come from commercial loans.

Table 1 shows plantation forest progress. Non-pulp plantation forest covers about 40 per cent of the total established

7

Figure 1—Progress of the Plantation Forest Establishment

Figure 1 Legend: 

a: no effect of the Presidential Decree No. 35/1980

about bond for concessionaire rehabilitation

b: A political decision to develop industrial plantation forests

c: Reforestation Fund has impacts on the establishment of plantation forests

d: land access and easier access to the Reforestation

Fund has positive effect on number of joint ventures

e: tight money policy has negative impact on pure 

private plantation forests 

f: Transmigration Scheme launched in 1992 has initial positive impact on joint ventures

g: Reforestation Fund regulation has initial positive

impact on joint ventures

h: 1997 Indonesian early crisis, forest fires, drop in

joint ventures scheme

i: 1998: Reforestation Fund eliminated; drastic drop

in joint ventures scheme

Pelita: Five-Year Plan

Sources:

1. Davis (1989); Laurila (1989).

2. Ministry of Forestry (Forestry Statistics of

Indonesia; 1989–2000).

3. Directorate of the Management of Forest

Plantation (2000/2001).
8

plantation forest, whereas pulp plantation forest covers 60

per cent. Main species are Acacia spp, Eucalyptus spp,

Pinus merkusii, Shorea spp, etc. Records indicate that harvest work (> 4 million cubic meters harvested annually)

has occurred over more than 200 plantation units, however

only 2.2 million ha of plantation forests have been planted.

The International Tropical Timber Organization (ITTO;

2001) has analysed and evaluated Indonesian plantation

forest development. Some constraints for this low establishment rate are: (a) land tenurial issues and land conflicts;

(b) lack of plantation performance audit; (c) lack of maintenance; (d) inappropriate species selection; (e) lack of

long-term plantation plans; and (f) inadequate access to credit

due to high risks and low productivity. Measures addressing the plantation problems as stated in above section are:

(i) on-going activity on inventory and evaluation of various

plantation programmes; (ii) research and technology development (an on-going enhancement of productivity of plantation forests, etc); (iii) on-going formulation of a clear and

transparent policy on plantation forests; (iv) strengthening

institutional support for plantation forest development

through the promotion of stakeholder participation in line

with the decentralisation issues.

Kanowski (2003) states that the challenges for plantation forests for the first part of the 21st Century are consolidation and building from past accomplishments, lessons

learned from errors, then positioning the structure of plantation forests to better contribute to all dimensions of sustainable forest management. Therefore, it is necessary to

re-evaluate the condition of plantation forest resources

through main issues such as decentralization of forestry

issues.

The current policy on rehabilitation of the degraded

forests including promoting plantation forest has been

determined to be the principal focus of forestry-sector

related policies and actions for the next 10 – 20 years.

Parallel with the determination of the five priority policies

is the reinvention of an approach for implementing the 

programs, termed social forestry. 

Social forestry is basically any method that aims at

achieving sustainable forest management and improving

people’s welfare simultaneously. It is an approach in which

people, particularly those living in and around forests, are

the main actors in forestry-related activities. In addition,

the main focus is to promote greater participation of the

private sector, rural cooperatives, local communities, indigenous people, and non-governmental organizations in 

forest-related activities.

Restructuring has started with joint venture state-owned

plantation forest companies. Recognising tremendous problems of plantation forest development, the Ministry of

Forestry established an internal working group on restructuring of the industrial plantation forests in early 2002.

Initial steps have been taken to evaluate the state-owned

forest companies.

Criteria and indicators for this restructuring process are

significantly transparent and based on technical, financial,

law and social aspects. There are 2 main decisions:

a. Liquidation and RF reimbursement for companies

that are:

i. technically infeasible and financially feasible;

ii. technically infeasible and financially infeasible;

iii. technically feasible and financially infeasible.

b. Facilitation and supported incentives for companies

that are:

i. technically feasible and financially feasible.

In point b., companies shall be supported in such a way that:

• The Government Capital Share (PMP) must be 

disbursed to the Government; and 

• Rescheduling opportunities are developed for 

companies faced with cashflow problems and 

accounting reasons.

Table 1—Plantation Forests by Management Regime*

No. Management Total (ha) Establishment Percentage of

Regime Area(granted) Planting Area** (ha) Planting Area

a. Pulp 5,450,518 3,815,363 1,334,985 ( 25%)

b. Non Pulp 3,715,398 2,600,779 900,235 ( 24%)

∑(a + b) 9,165,916 6,416,141 2,235,220 

Notes: * recalculated/updated. 

** effective planting area is 70% of total area (based on the regulation). 

Sources: Ministry of Forestry (2001); various reports.
This restructuring activity is an on-going process in

which the Ministry of Forestry has focused on these measures in order to provide a transparent and responsible sustainable plantation forest management which can contribute

to sustainable development and nationwide conservation.

FOREST INDUSTRY

Government policy promoted forest-based industry to

primarily utilize natural forests through added value and

infrastructure (Nasendi, 1984). Indonesia’s forest-based

industry comprises a mix of:

i. Non-panel forest-based industry consists of 

81 pulp and paper mills (12 integrated pulp and

paper mills; 66 paper mills; 3 pulp mills).

ii. Panel-based industry consists of 4,400 sawmills, 

120 plywood mills, 39 block board mills, 13 chip

mills, and 2 Medium Density Fibre (MDF) mills.

The volume of logs harvested from natural forests has

declined significantly over the past years as shown by

Figure 2. This decline is due to unsustainable forest management practices in common with lacking appropriate techniques for silviculture, forest fires, illegal logging including

encroachment, and natural forest conversion. The existing

natural virgin forest is 18.8 million ha ( 46% of total natural forest concessions).

Current annual log supply shortage is 35 million cubic

meters (cum), i.e., between log supply from natural and

plantation forest (15 million cum) and the log demand (50

million cum). This log supply from natural forests may be

much less if recent tentative policy is to be implemented 

by use of a “soft landing” or the reduction of the annual

allowable cut (AAC) in order to provide a period for 

natural forests to renew.

Indonesia has progressively planned and developed forest

plantations since mid-1980s. There are currently 3 million

ha of pulp plantations that have been granted. The establishment rate is more than 40% or 1.2 million ha (excluding 1 million ha of Teak plantations). The principal species

that is planted is Acacia spp. (comprising about 80% of the

species planted for pulp plantation establishment). The pulp

log production in 2000 was 4 million cum or 23% of total

pulp log demand from pulp mills (Aruan, 2000; 2001). Its

future pulp log production and its establishment rate are

estimated to increase gradually.

Following a multi-dimensional crisis in 1997–1998, 

the Government has realised that forestry issues should be

addressed in the background of the global forest mechanisms

and sustainable forest management principles (external and

internal factors). 

9

Figure 2—Indonesia’s Log Supply

Sources: Ministry of Forestry (2000; 2001; 2002).
10

The technological aspects of the panel forest-based

industry are partly neglected. Most of the forest-based

industries were built in the 1980s. The technology is now

inefficient. Competitiveness in the global market is low,

due to the out-of-date machinery. The current machinery

can only process higher grade logs and larger log sizes, 

but a limited amount of the industry is well-equipped.

The development of forest-based industry follows the

dynamic of entrepreneurship. It has distinctive periods of

growth, decline and restructuring (Le Heron, 1997). The

panel forest-based industries face the restructuring period,

whereas the non-panel forest-based industry is entering its

growth period.

A natural follow-up to the review and evaluation is to

develop and implement a master plan for restructuring the

forest-based industries. This master plan should be based

on strategic, transparent, and well-defined criteria (ITTO,

2001).

Growing imbalances in demand (i.e. further forest

resource-base decline) and supply (i.e. population growth

adding to future demand for forest lands and products)

already exists nationwide. Figure 3 shows Indonesian forest

product trends. Pulp and paper production is an uptrend

whereas the panel forest products such as sawn-timber and

plywood are in a downtrend (Aruan, 2000; 2001). Two

major questions are: (a) What should be done if these trends

persist? and (b) In the near future, can the pulp and paper

industry develop significant exports of their products that

would supplement the existing plywood and sawn-timber

trade and their export values? In answering those two questions, further strategic policy analysis should be carried

across industry sectors. Activities on restructuring forestbased industries and plantation forests are underway.

Increasing the harvest volumes from plantation forests

will influence more plantation establishment. Increased rate

of return from plantation investments—(e.g., fertilization,

genetic improvement, pre-commercial thinning, and harvesting improvement)—would boost long-term pulp log

supply.

The sustainability of Indonesian pulp plantation forests

will clearly be enhanced. The benefits of investments

should be realised, when the reasons for pulp plantation

forests are well established within broader Indonesian contexts such as (a) social context, i.e., more community participation in managing the resources including plantation

forests; (b) environmental context, i.e., more resource

accountability locally and regionally; and (c) economic

context, i.e., more employment and increased prosperity. 

Figure 4 shows the figures for the dynamics of forest

product exports from Indonesia.

Linking the plantation forest products with the global

and domestic markets, the focus on the development of

plantation forests should be aimed to rehabilitate degraded

forests and lands, and to increase productivity and quality

as a way to ease pressure on the natural forests. Properly

managed forest plantations can make a substantial contribution to the wood supply, however they are currently very

inadequate in terms of total area, are marginal in quality,

and often have low stocking.

Sources: Ministry of Forestry (2001; 2002); Data Consult (1999).

Figure 3—Indonesian Forest Product Trends
DISCUSSION

The global plantation forest has increased by three times. 

It was nearly 12 million hectares/year in the 1990s, compared to less than 4 million hectares/year in the 1980s (FAO,

2001; ITTO, 2001). This increase of plantation forest

establishment indicates steadily increased investment in

forestry. Therefore, the principal current problem is not

only the availability of the investment but also the ability

to plan, manage, control and market the plantation forest

products successfully.

The current changes in the global forestry scene are: 

(i) forestry policies such as national forest policy (nfp), priority forestry programmes, gradual shift from public sector

to private sector in managing forests, and being proactive

in global scenes such as UNCED, UNFF, etc; (ii) social and

economic consequences, e.g., through partnerships for better community welfare and social forestry; and (iii) research

and development/technological improvement, e.g., several

fast and slow growing commercial species. 

The challenge for plantation forest development will be

to become better integrated into the local community. Initial

steps have been conducted including sharing ownership.

Other challenges are to expose and identify various possibilities in the development of plantation forests in terms of

matching species, appropriate and environmentally sound

technology, incentives (Guizol and Aruan, 2002), and

potential domestic and global markets.

The panel forest-based industries must be concerned

about their current restructuring process and their research

budget. Forest-based industry can be in a better position in

the future through innovative research. Small and medium

scale forest-based industries can be created, for example, 

to process bark waste from Acacias logs in the MDF mill.

This could lead to a potential linkage between social

responsibility and private sector responsibility.

Non-panel forest-based industry (consisting of pulp and

paper mills) will increasingly need better quality and uniformity from established plantation forests. On the other

hand, the panel-based industry (consisting of sawmills, plywood mills, and block board mills) needs to be restructured

in terms of their installed and production capacities, log

requirements, machinery capabilities, and markets.

The recent significant forest and forestry issues and

changes have implications for future dialogue, ownership/

partnership, incentives, resource and market structures.

These future structures need a transparent planning system.

In addition, this planning system needs to contain political

and other types of discretion that enables decision makers

to strengthen their ideas. (Leslie, 1995; personal communication). 

Based on the above discussion, the overall future plantation forest and forest-based industries can be shown by

Figure 3. These trends need further in-depth analyses not

only for the wood supply from natural and plantation

11

Figure 4—Indonesian Forest Product Export (2000).

Sources: Ministry of Forestry (2001; 2002); various sources.
12

forests but also future demands of different forest products.

Such analyses should also be cross-sectoral analyses. In

addition, external and internal factors such as: criteria and

indicators of sustainable forest management, policy analysis,

proposed incentives, schemes, periodicity, equity share,

integration, tax, performance, macro economic and other

sectors determine the plantation forest plans. The output of

various analyses should indicate future plantation forest

and the forest-based industries. Regional plantation forest

planning methodology has been proposed to support and

indicate the trends of future plantation forests given various

inputs and the involvement of relevant stakeholders (Aruan,

1990; Aruan, 1996; Aruan et al, 1997; Aruan, 1998; 1999).

Accurate information such as numerical outputs can be

indicative point of reference (or entry point) for dialogues

between relevant stakeholders. 

This effort is the Government’s responsibility to convey

such plans at the appropriate planning levels, i.e. nfp,

national plans, sector plans, priority programmes. National

forest policy (nfp) is the forum of dialogue with other relevant stakeholders. They are traditional communities, central

and local authorities, and associations. Both master plans

for plantation forest development and forest-based industries are developed simultaneously. The restructuring of

plantation forests and forest-based industries can also be

included in those master plans. The nfp is a both technical

and political process in the sense that the identification of

goals, policies, strategies and mechanisms for implementation are based on accurate information and broad participation of all parties of the society.

The existing and future plantation forests will play an

increasingly important role not only for the wood production but also in non-wood production such as soil and

water protection, carbon sequestration (carbon trade), 

and conservation.

CONCLUSIONS

First, it seems that despite initial uncertainty regarding

the declining wood supply from natural forests, the future

possible wood supply will be complemented by fast and

slow growing plantation forests.

Second, conservation (or environmental) and social

issues through small and medium business scales (“forest

for people”) will gradually direct the business opportunities.

Forestry policies and regulations have to be in line with

these trends.

Third, lessons learned from the historical development

of Indonesian plantation forests indicate that consistency of

government policy is a critically important factor for the

initial and following stages of development. 

Finally, the future role of plantation forests and forestbased industries in Indonesia will be clearly understood

with the probability of a good outlook. Then, sharing and

adapting the successful global experiences should be an

effective adaptation in promoting successful future plantation forests.

LITERATURE CITED

Aruan, A.L.P. 1990. The Minimum Economic Area 

required for Sawlog Plantations in Indonesia. School of

Forestry—University of Canterbury. New Zealand.

Master report. 117 p.

Aruan, A.L.P. 1996. Regional Forestry Sector Modelling of 

Options for Industrial Forest Plantations in Indonesia.

School of Forestry—University of Canterbury. New

Zealand. 203 p. Unpublished Ph.D. dissertation.

Aruan, A.L.P., A.G.D. Whyte & E.M. Bilek. 1997. 

Regional Forestry Sector Modelling of Options for

Industrial Forest Plantations in Indonesia. Australian 

& New Zealand Institutes of Foresters Conference.

Canberra, Australia: 183–190.

Aruan, A.L.P. 1998. Farm Forestry Management Planning - 

Indonesia. Proceedings of IUFRO Conference, 12–17

October 1998. Seoul, Korea: 582-588.

Aruan. A.L.P. 2000. The Development of Indonesia’s 

Forest and Forest-Based Industry Sector. Papercast 13th

International Business Planning Conference. Paris,

France. 35 p.

Aruan. A.L.P. 2000. Indonesia’s Forest and Forest-Based 

Industry. Asia Pulp & Paper 2000 Conference. New

Delhi, India. 21 p.

Aruan. A.L.P. 2001. Indonesian Pulp and Paper. Papercast 

14th International Business Planning Conference., 9–

11 September 2001. Paris, France. 18 p.

Aruan. A.L.P. 2003. The Future Role of Plantation Forests 

and Forest-based Industry. World Forestry Congress.

Quebec, Canada. 8 p.

Data Consult Inc, PT. 1999. Pulp and Paper Industry in 

Indonesia: Current Developments and Prospects.

Jakarta, Indonesia. 200 p.
Davis, C.W. 1989. Outlook and Prospects for Indonesia’s 

Forest Plantations. UTF/INS/065/INS: Forestry Studies

Field Document No. I-3. Ministry of Forestry-FAO.

Jakarta, Indonesia. 254 p.

Directorate of the Management of Forest Plantation. 

2000/2001. Laporan Perkembangan Pembangunan HTI.

Jakarta, Indonesia. In Indonesian. Various pages.

Food and Agriculture Organization (FAO). 2001. State of 

the World’s Forests 2001. http://www.fao.org/forestry/

fo/sofo/SOFO2001/sofo2001-e.stm

Guizol, P. and Aruan, A.L.P. 2002. Impact of Incentives 

on the Development of Forest Plantation

Resources in Indonesia. 19th Asian-Pacific Forestry

Commission (APFC) Meeting-Mongolia. CIFORMinistry of Forestry Republic of Indonesia. 40 p.

ITTO. 2001. Achieving Sustainable Forest Management in 

Indonesia. Yokohama, Japan. 131 p.

Kanowski, P. 2003. Challenges to Enhancing the 

Contributions of Planted Forests To Sustainable Forest

Management. United Nations Forum on Forests

Intersessional Experts Meeting on the Role of Planted

Forests in Sustainable Forest Management Conference.

24–27 March 2003 Wellington, New Zealand. 12 p.

Laurila, E.J. 1989. Pulp and Paper Industry in Indonesia: 

Prospects for Development. UTF/INS/065/INS:

Forestry Studies Field Document No. IV-3. Ministry 

of Forestry-FAO. Jakarta Indonesia. 118 p.

Le Heron, R. 1997. The Fibre of Forestry: A Perspective 

on Structural Change and Challenges Relating New

Zealand’s Forestry Scene. In-Bachelard and Brown

(Editors). Preparing for the 21st Century. Proceedings

of the 4th Joint Conference of IFA and ANZIF.

Canberra. Australia pp. 63–71.

Leslie, A. 1995. Communication. In-Aruan. Regional 

Forestry Sector Modelling of Options for Industrial

Forest Plantations in Indonesia. Christchurch. New

Zealand: School of Forestry—University of Canterbury.

203 p. Ph.D. dissertation.

Nasendi, B.D. 1984. An Indonesian Forestry Optimization 

Model for Timber Supply Alternative Analysis. East

Lansing, Michigan: Michigan State University. 132 p.

Ph.D. dissertation. 

Ministry of Forestry. 1989–2000. Forestry Statistics of 

Indonesia. Jakarta, Indonesia. Various pages.

Ministry of Forestry. 2000. Mofrinet and Monthly Report 

of DGFU Activities. Jakarta, Indonesia. Various pages.

In Indonesian.

Ministry of Forestry. 2001. Data dan Informasi Kehutanan. 

Jakarta, Indonesia. 143 p. In Indonesian.

Ministry of Forestry. 2001. Priority Programs for Forestry 

Development 2001–2004. Jakarta, Indonesia. 48 p.

Ministry of Forestry. 2002. Eksekutif Data Strategis 

Kehutanan. Jakarta, Indonesia.170 p. In Indonesian.

Ministry of Forestry. 2002. Minister of Forestry Decree 

No. 4795/2002 concerning Criteria and Indicators for

Sustainable Natural Production Forest Management on

Management Unit. Jakarta, Indonesia. In Indonesian.

Ministry of Forestry. 2002. Minister of Forestry Decree 

No. 4796/2002 concerning Performance Assessment

Guidelines for Sustainable Natural Production Forest

Management on Management Unit. Jakarta, Indonesia.

In Indonesian. 

Ministry of Forestry. 2003. Remarks by Minister of 

Forestry of the Republic of Indonesia at the Twelfth

CGI Meeting. Denpasar, Indonesia. 3 p.

13
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15

1 Regional director, Southeast Asia and Pacific Tropical Forest Foundation, www.tropicalforestfoundation.org

Proceedings from IUFRO Division 5, Research Groups 5.11 and 5.12, number 2

REDUCED IMPACT LOGGING: THE TROPICAL FOREST

FOUNDATION EXPERIENCE IN INDONESIA

A.W. Klassen1

THE TROPICAL FOREST FOUNDATION

The Tropical Forest Foundation (TFF) is a non-government, not-for-profit training institution dedicated to the

promotion of sustainable forest management in the tropical

forests. TFF has become widely recognized for establishing

demonstration models and training schools to show the

advantages and teach the principles of sustainable forest

management and operational strategies such as Reduced

Impact Logging (RIL).

TFF initiated its field activities with a program in Brazil

in 1992. This program of training, demonstration, and

research into RIL strategies, has proven so successful that

preparations are now under way to create a permanent RIL

training center in the Amazon with multi-stakeholder funding and participation.

In January, 2000, TFF expanded its activities into Southeast Asia with the start of a program based in Indonesia. In

2002, TFF further expanded its activities by initiating an

RIL training program in Guyana. Investigations are now

also underway to open a program in West Africa.

This paper provides a brief overview of the TFF activities in Indonesia. 

TFF’s INDONESIA PROGRAM

Program Concept

TFF responds to requests from forest companies to

conduct specific training and demonstrations related to the

implementation of RIL. All of TFF’s training activities have

been specifically tailored to the needs and requests of willing companies; hence the participation involves a strong

sense of partnership and a high level of motivation.

This active “buy-in” to TFF’s training and extension

services makes a low-budget training program possible

since the companies generally agree to cover local travel

and accommodation costs.

Definition of RIL

TFF’s self-appointed mandate to develop a RIL training

and demonstration program came about with the recognition that the way most tropical forests were being logged

was simply not sustainable. Early research into improving

forest planning and harvesting resulted in dramatic, but

expected reductions in all impact parameters. A surprising

additional benefit, however, was the discovery that in many

cases, significant financial and economic gains could be

achieved through a more disciplined approach to operational planning and control.

It has become clear, at least in the Indonesian context,

that RIL must be promoted pragmatically. An idealistic

model of RIL, which includes activities of questionable

benefit such as vine cutting, etc., will never be accepted by

the forest industry if the resulting cost structure is higher

than the conventional approach to harvesting. TFF, therefore, summarizes its definition of RIL as consisting of:

• Forest inventory producing contour and tree position

maps at appropriate operational scale.

• Detailed planning incorporating simple and clearly

defined operational and environmental standards.

• Pre-felling location and opening of skid trails.

• Clear and practical guidelines for felling, bucking

and skidding.

• Tight supervision of logging activities with adequate,

qualified supervisory personnel who have been

empowered to effect changes as necessary.

• Physical deactivation of skid trails to minimize the

risk of erosion
• Meaningful monitoring and evaluation of harvesting

activities and the maintenance of permanent records.

• Appropriate management systems and management

support to ensure that improved practices are, in fact,

implemented.

Content and Scope

TFF’s program in Indonesia has, till now, involved four

major types of activities:

• Information dissemination on RIL: newsletters, 

journal articles, participation in workshops, etc.

• Development and publication of technical literature

and procedures manuals.

• Training in RIL methodologies using a modular

approach.

• Demonstration and technical extension services.

INDONESIA: FOREST MANAGEMENT

IN CRISIS

The Indonesian forest sector is still relatively young but

it is already contracting. Rapid expansion of the manufacturing sector really only occurred after the Government

imposed massive log export taxes in 1984 effectively halting the export of logs. 

At its peak in 1992–93, Indonesia had approximately 

64 million hectares (mm ha) of production forest licensed

under a forest concession system. Almost 600 concession

companies operated on an officially endorsed annual allowable cut of approximately 28 million cubic meters (mm m3).

Since then, the forest sector has been contracting rapidly.

The rate of decline has become particularly pronounced

after the financial crisis in 1997 when many of the Southeast Asian currencies sharply devalued due to a crisis in 

the banking sector.

Synopsis of the Current Situation

The forest sector in Indonesia is facing massive problems and is on the brink of a large-scale decline. The problems facing this sector can be summarized as follows:

• General lack of authority due to confusion surrounding the decentralization process. 

• Virtual absence of any law enforcement within the

forest sector due to lack of jurisdictional clarity and

widespread corruption.

• Large scale illegal logging. World Bank reports

(2001) and Holmes (2002) estimate illegal logging 

of approximately 41 mm m3 in 1997. This was estimated to have increased dramatically in 1998 to an

estimated 57 mm m3. 

• Large scale illegal log exports account for recent

major increases in the output of China’s woodworking industry and support much of Malaysia’s and

other Southeast Asian country’s wood processing

industries (EIA 2002).

• Massive overcapacity in the Indonesian wood processing industry is widely considered responsible 

for fueling much of the illegal logging.

• Rapidly shrinking resource: deforestation rate is 

now estimated at 2.1 to 2.4 mm ha per year.

Degradation of remaining forests is considered to 

be even more serious. 

• Endemic corruption at every level of government 

and direct involvement in illegal logging activities 

by members of the government. 

In 2003, the Ministry of Forests announced a halving 

of the annual allowable cut to 6.89 mm m3 for legal forest

concessions. Assuming that the plywood output of approximately 9.7 mm m3 at the peak of production in 1992–93

represents the legally licensed plywood sector’s consumption capacity of around 20 mm m3 of logs, it is easy to see

how this existing industry exerts a tremendous pressure for

harvesting outside of the current annual allowable cut.

However, all is not “doom and gloom”. There remains

in Indonesia, a core of forest companies who are committed to sustainable management of the natural forest. TFF

works with most of these companies in various training and

demonstration configurations.

TRENDS AND FUTURE PROGRAMS 

OF THE TFF

The continuing problems in the Indonesian (and Southeast Asian) forest sector, is creating a negative impression

in the markets, particularly the European and North American

markets. Environmental lobby groups have been effectively

capitalizing on the fact that so much of Indonesia’s (and

the Region’s) production comes from illegal logging and

illegal export to neighboring countries from where it finds

its way as “laundered” finished products to international

markets. 

Buyers in the European and North American markets

are demanding FSC certified products, but these are still in

scarce supply. The dimensions of the problems facing the

forest sector in Indonesia are likely to prevent a significant

increase in the rate of certifications in the immediate future.

16
This situation is further aggravated by the increasingly strident calls for a moratorium on forest certification from

uncompromising environmental NGOs.2

TFF has responded to this situation by developing two

new project initiatives. These initiatives recognize the relevance of a more holistic approach to training in sustainable

forest management. These initiatives also strengthen 

collaborative efforts and provide stronger training linkages

to the promotion of sustainable forest management and 

forest certification.

International Tropical Timber Organization 

(ITTO)–Funded Partnership in Training

The first of these initiatives is a partnership in training

with the Ministry of Forests, Center for Forestry Education

and Training, under a two year ITTO grant. This initiative

will seek to institutionalize training in RIL for the remaining forest companies as well as reaching out to District 

forest administrations. 

Forest-Market Linking Mechanism

TFF has secured funding support from USAID as well

as the private sector, represented by a major U.S. distributor of Indonesian plywood and an Indonesian forest industry, to create a mechanism linking the market with a forest

management unit.

Under this mechanism, the U.S. buyer will accept plywood made only from logs originating in the collaborating

forest concession’s annual operating area. The principle

preconditions in order for this mechanism to be activated

are:

1. The establishment of legality of the wood supply

from an identified source.

2. Independent, third party audit, which will track the

wood from the identified source to the factory and

through the manufacturing process.

3. Adoption of RIL management and harvesting strategy

on an identified source area from which logs will be

sourced.

Implementation of this mechanism started in January,

2003, and the first shipment of product under this mechanism is expected to reach the U.S. market by the middle 

of the year.

While this initiative may spark some controversy, it 

is by no means out of step with evolving market demand.

Various other organizations operating in Indonesia are

exploring similar forest-market connections. Such mechanisms vary from individual manufacturers looking for

sources of “legal logs” from “well managed forests”, to 

the World Wildlife Fund initiative to establish buyer-producer group connections in support of sustainable forest

management and forest certification.

TFF is committed to assisting the Indonesian forest sector to weather the difficult adjustments needed to achieve a

sustainable forest production. The linking of forest production units with specific markets, based on clear and achievable criteria of legality and sound forest stewardship, provides

an effective opportunity to encourage sustainable forest

management in a truly meaningful way.

LITERATURE CITED

Environmental Investigation Agency and Telapak 

Indonesia. 2002. Timber trafficking: illegal logging in

Indonesia, South East Asia and international consumption of illegally sourced timber. 

Holmes, D.A. 2002. Where have all the forests gone? 

The World Bank.

The World Bank. 2001. Indonesia: environment and 

natural resource management in a time of transition.

17

2 Ongoing lobbying for a certification moratorium in Indonesia by a coalition of Indonesian and European environmental groups, has resulted in a report

“Implementation FSC’s Principles No. 2 and 3 in Indonesia: Obstacles and Possibilities”, January 2003. 
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1 Faculty, Resource Science and Technology, University Malaysia Sarawak, 94300 Kota Samarahan, Sarawak, Malaysia. Email: ibipor@frst.unimas.my

Proceedings from IUFRO Division 5, Research Groups 5.11 and 5.12, number 3

SUCCESSION OF FALLOWS AFTER SHIFTING 

CULTIVATION IN SUNGAI SARAWAK BASIN, 

KUCHING, SARAWAK

I.B. Ipor and C.S. Tawan1

ABSTRACT

Shifting cultivation is the simplest and very widespread method of agriculture. It is estimated that about 3.2 million

hectares (ha) of land has been cleared for shifting cultivation. It is basically developed from the traditional way of hunting

and gathering by the rural people. In Sarawak, the people are mainly Iban, Bidayuh, Kayan, Kenyah, Kelabit, Murut and

other indigenous communities. They traditionally plant hill padi, interplanting with tapioca (Manihot sp.), maize (Zea mays),

cucumber (Cucumis sp.), Brassica vegetables, sorghum etc. and then these areas are abandoned for the next cycle. This

practice is often considered to be one of the major causes of extensive deforestation and environmental degradation. The

abandonment has normally led to the formation of various stages of fallows or secondary forests. 

Forests are usually classified based on their structure (physiognomy). The secondary forests offer a distinct contrast to

the primary forests, both structurally and floristically. The common successional categories in the survey area are the grassland, Temuda (3 to 8 years after shifting cultivation) and Belukar (8 to 20 years after shifting cultivation). The grassland

becomes established approximately one year after shifting cultivation of hill paddy planting. Grassland is dominated by

herbs, grasses and sedges. Shrubs and small trees are also present. The young Temuda I develops after approximately 3 to 

4 years and is dominated by herbs, sedges, ferns and young shrubs. Trees generally grow to 3 meters (m) in height during

this successional stage. Temuda II represents the successional stage following Temuda I. This successional stage develops

between 5 to 8 years after shifting cultivation. Emerging shrubs and trees are still very common and characterize the vegetation of this successional stage. Trees may reach 6 m in height but the canopy is still rather open with pockets of shade from

taller trees. Canopy closure takes place at the beginning of the Belukar 1 stage after about 8 to 15 years old. This stage of

succession is conspicuously dominated by Palaquium sericeum (Importance value (Iv) = 13.33), Helicia petiolaris (Iv =

12.578), Artocarpus elasticus (Iv = 11.088), Adinandra acuminata (Iv = 11.075), Anisophyllea corneri (Iv = 9.187) and

Premna integrifolia (Iv = 7.590). The fast-growing trees of the genera Ficus and Macaranga grow gregariously, notably

Ficus uncinata, Ficus grossulariodes, Macaranga beccariana, Macaranga triloba, Macaranga pruinosa, Macaranga

hypoleuca, Ficus geocharis, Macaranga costulata, and Macaranga gigantea. Other common species are Artocarpus nitidus,

Artocarpus elasticus, Artocarpus anisophyllus, leban (Vitex pubescens), Dillenia sp., terbulan (Endospermum malaccense)

and Callicarpa. Macaranga pruinosa, M. gigantea and M. beccariana are occasionally established in pure stands. Lightdemanding herbs, grasses and sedges of the Temuda forest have largely been shaded out, except Blechnum orientale, some

species of ginger and Nephrolepis biserrata. Licuala is quite commonly found among the sparser ground cover. The estimated above-ground biomass of Belukar vegetation is 181.8 tons/hectare (t/ha). The highest contribution of biomass is from

Palaquium sericeum followed by Helicia petiolaris and Artocarpus elasticus. In Belukar II (more than 20 years old), the

dominance of the fast-growing pioneer trees is ending. This vegetation is a transition to mixed dipterocarp forest. Shadetolerant species have become established and are gradually gaining dominance in the overstorey. This type of vegetation

occupies a small area along the edge of the mixed dipterocarp forest.

19
INTRODUCTION

Shifting cultivation is practiced by a large portion of the

population in Sarawak. This cultivation is a highly complex

system, with wide variations based on cropping and yield

pattern. These variants (based on ecological, social and 

cultural variations in the tribal societies) are very insulated

because of topographical and language barriers. Shifting

cultivation is adopted mainly to restore soil fertility, suitability and capability of the degraded areas that results from

a few years of continuous cultivation. Usually a specific

amount of virgin or secondary forest is cleared and transformed into temporary cropping area (locally known as Uma).

The farmers will get a good harvest during the first year

and the harvest levels eventually decrease as soil degradation occurs. These areas cannot be used agronomically for

planting hill paddy after 3–5 years of continuous cultivation.

These lands will be left as fallow and the farmers will move

to other new areas. These fallow areas may be cultivated

again when soil fertility is restored as a result of secondary

forest regrowth. After this cultivation, the land will again

be left fallow. The fallow areas normally become capable

for cultivation after a resting period of 3–20 years. The resting period greatly depends on soil type and climate factors

(Young and Wright 1979).

It is estimated that about 3.2 million ha of land (25.7%

of Sarawak) has been cleared for shifting cultivation (Hatch

1982). The shifting cultivation is confined mostly in the

Native Area land and the interior land with slopes of 47° 

to > 65%. In most cases, the cultivators have farmed in the

area where they have acquired Native customary Rights on

the land. In some areas, the pressure already referred to has

increased the tendency for shifting cultivators to move into

totally unsuitable types of land, even if only to take one

crop of hill paddy and never return to it again. Vegetation

succession as a result of shifting cultivation, is dominated

by several fast-growing tree species. The present study was

conducted to determine the structure and floristic composition of various stages of succession in fallow areas following shifting cultivation. 

MATERIALS AND METHODS

A survey on different stages of succession was carried

out within Sungai Sarawak basin. All trees at ≥5 centimeters (cm) diameter breast height (DBH) were enumerated

within 20 x 20m plots (10 x 10m sub-plots) to determine

the total above ground biomass (TAGB) by an allometric

correlation method (Kato et al. 1978, Ogawa and Kira

1977, Yamakura et al. 1986), relative frequency (Rf), relative density (Rd), relative dominance (RD) and important

value (IV) of tree species were determined by following

the method described by Brower and Ende (1990). The

herbaceous plants were surveyed and identified at 1m x 1m

to assess their dominance status (Kim and Moody 1983).

The assessment was based on the values of relative density

(Rd), relative frequency (Rf), importance value (Iv) and

summed dominance ratio (SDR).

RESULTS AND DISCUSSION

The destructive effects of shifting cultivation practice

on these ecological components are obvious. The majority

of the shifting cultivators are not educated and not fully

aware of the damage they have on the environment. In the

absence of any alternative employment in their ecological

setting, they regard shifting cultivation as the sole method

of producing food in order to survive. In this process, they

destroy the valuable timber species (the main forest resource

and source of tree regeneration), cause soil erosion, deplete

soil fertility, and create problems of land tenure and ownership.

Since at least 20% of the land area of the state has been

cut and burned for hilly paddy at some time or another, it is

clear that shifting cultivation probably represents the greatest threat to the long term preservation of Sarawak’s forest

resource. The quantity of high quality hardwood timber

that is cut and burned annually by the shifting cultivator is

of more immediate impact.

The classification of forests is usually assessed based on

their structure (physiognomy). The secondary forests offer

a distinct contrast to the primary forests, both structurally

and floristically. The common successional categories in

the survey area are the grassland, Temuda (3 to 8 years

after shifting cultivation) and Belukar (8 to 20 years after

shifting cultivation). The grassland is established approximately one year following shifting cultivation of hill paddy

planting. It is dominated by herbs, grasses and sedges. Shrubs

and small trees are also present. Paspalum conjugatum (SDR

= 4.43) is the most dominant species and then followed by

Imperata cylindrica (SDR = 4.13), Axonopus compressus

(SDR = 3.66), Scleria sumatrensis (SDR = 1.90) and Eleusine

indica (SDR = 1.58) (table 1). Lalang (Imperata cylindricia)

appears to dominate the degraded sites subjected to several

cycles of shifting cultivation. Pure lalang stands are frequently found in abandoned farms. Scleria sumatrensis and

Melastoma malabathricum are well represented on dry,

exposed or compacted sites. However, this vegetation offers

a wide variety of plant species. Many of these species are

of some importance due to their roles as (1) potential weeds,

or (2) effective and fast growing cover for exposed soils. 

20
Table 1—The quantitative estimates of plant species found in one year fallows of shifting 

cultivation at Sg. Sarawak Basin (Rd = Relative density, Rf = Relative frequency, 

Iv = Importance value and SDR = Summed dominance ratio). (continued on next page)

Species Family Rd Rf Iv SDR

Paspalum conjugatum Poaceae 7.43 1.43 8.86 4.43

Imperata cylindrica Poaceae 6.62 1.65 8.27 4.13

Axonopus compressus Poaceae 5.97 1.34 7.31 3.66

Scleria sumatrensis Cyperaceae 2.36 1.43 3.79 1.90

Eleusine indica Poaceae 2.70 0.45 3.15 1.58

Cyperus iria Cyperaceae 1.76 1.25 3.01 1.51

Asystasia intrusa Acanthaceae 1.81 1.16 2.97 1.49

Ischaemum muticum Poaceae 1.09 1.76 2.84 1.42

Cyperus digitatus Cyperaceae 1.40 1.16 2.57 1.28

Cyperus distans Cyperaceae 1.44 1.08 2.52 1.26

Cyperus compressus Cyperaceae 1.16 1.34 2.50 1.25

Chromolaena odorata Asteraceae 0.90 1.52 2.43 1.21

Ischaemum timorense Poaceae 1.05 1.34 2.40 1.20

Fimbristylis miliacea Cyperaceae 1.05 1.34 2.40 1.20

Panicum repens Poaceae 1.23 1.16 2.39 1.20

Phyllanthus amarus Euphorbiaceae 0.88 1.40 2.28 1.14

Ageratum conyzoides Asteraceae 0.63 1.65 2.27 1.14

Cyperus difformis Cyperaceae 1.11 1.16 2.27 1.14

Euphorbia hirta Euphorbiaceae 1.08 1.16 2.24 1.12

Leersia hexandra Poaceae 0.78 1.40 2.18 1.09

Mimosa invisa Mimosaceae 0.79 1.34 2.13 1.07

Hyptis capitata Labiatae 0.90 1.22 2.11 1.06

Pennisetum purpureum Poaceae 0.38 1.61 1.99 0.99

Dactyloctenium aegyptium Poaceae 1.00 0.99 1.99 0.99

Panicum sarmentosum Poaceae 0.60 1.34 1.94 0.97

Solanum torvum Solanaceae 0.70 1.16 1.87 0.93

Digitaria setigera Poaceae 0.77 1.09 1.87 0.93

Digitaria ciliaris Poaceae 1.05 0.81 1.86 0.93

Eragrostis atrovirens Poaceae 1.12 0.73 1.86 0.93

Fimbristylis globulosa Cyperaceae 1.00 0.84 1.84 0.92

Paspalum scrobiculatum Poaceae 0.44 1.40 1.84 0.92

Cyperus kyllingia Cyperaceae 1.00 0.81 1.81 0.90

Hedyotis corymbosa Rubiaceae 0.42 1.38 1.80 0.90

Elephantopus tomentosus Asteraceae 0.81 0.95 1.76 0.88

Cyperus aromaticus Cyperaceae 0.66 1.08 1.74 0.87

Mikania micrantha Asteraceae 0.39 1.34 1.73 0.87

Isachne globosa Poaceae 1.05 0.66 1.72 0.86

Lopatherum glacile Poaceae 0.63 1.08 1.70 0.85

Leptochloa chinensis Poaceae 0.53 1.16 1.70 0.85

Panicum maximum Poaceae 0.89 0.81 1.70 0.85

Erechthites valerianifolia Asteraceae 0.60 1.08 1.68 0.84

polygonum barbatum Polygonaceae 0.46 1.22 1.68 0.84

Oldenlandia dichotoma Rubiaceae 0.46 1.22 1.68 0.84

Hyptis brevipes Labiatae 0.45 1.22 1.66 0.83

Hedyotis verticillata Rubiaceae 0.40 1.25 1.65 0.83

Cyrtococcum accrescens Poaceae 1.18 0.45 1.63 0.82

21
Table 1 (continued)—The quantitative estimates of plant species found in one year fallows 

of shifting cultivation at Sg. Sarawak Basin (Rd = Relative density, Rf = Relative frequency, 

Iv = Importance value and SDR = Summed dominance ratio). (continnued on next page)

Species Family Rd Rf Iv SDR

Ottochloa nodosa Poaceae 0.54 1.09 1.63 0.82

Euphorbia heterophylla Euphorbiaceae 0.58 1.02 1.60 0.80

Brachiaria milliformis Poaceae 1.25 0.30 1.55 0.78

Melastoma malabathricum Melastomataceae 0.65 0.90 1.55 0.77

Cynodon dactylon Poaceae 1.11 0.41 1.52 0.76

Echinochloa colona Poaceae 0.61 0.90 1.51 0.76

Ludwigia adscendens Onagraceae 0.30 1.20 1.50 0.75

Emilia sonchifolia Asteraceae 0.69 0.81 1.49 0.75

Elephantopus scaber Asteraceae 0.74 0.72 1.46 0.73

Panicum brevifolium Poaceae 0.74 0.70 1.44 0.72

Chloris barbata Poaceae 0.63 0.81 1.43 0.72

Costus speciosus Zingeberaceae 0.44 0.99 1.42 0.71

Ischaemum indicum Poaceae 1.12 0.27 1.39 0.70

Phragmites karka Poaceae 0.67 0.72 1.38 0.69

Stenochlaena palustris Dennstaedtiaceae 1.25 0.13 1.38 0.69

Commelina diffusa Commelinaceae 0.33 1.02 1.36 0.68

Cleome rutidosperma Capparidaceae 0.35 0.99 1.34 0.67

Cyperus pilosus Cyperaceae 0.70 0.63 1.33 0.66

Mimosa pigra Mimosaceae 0.46 0.86 1.32 0.66

Lantana camara Verbenaceae 0.53 0.79 1.32 0.66

Cyperus brevifolius Cyperaceae 0.70 0.61 1.31 0.66

Portulaca oleraceae Portulacaceae 0.53 0.77 1.30 0.65

Aeschynomene americana Papilionaceae 0.28 0.99 1.27 0.63

Coix lachryma-jobi Poaceae 0.38 0.81 1.19 0.59

Coelorachis glandulosa Poaceae 0.74 0.45 1.19 0.59

Monochoria vaginalis Pontederiaceae 0.46 0.72 1.18 0.59

Digitaria fuscescens Poaceae 0.79 0.38 1.17 0.58

Sida rhombifolio Malvaceae 0.27 0.90 1.16 0.58

Scirpus grossus Cyperaceae 0.62 0.54 1.16 0.58

Pennisetum polystachyon Poaceae 0.61 0.54 1.15 0.58

Chrysopogon aciculatus Poaceae 0.70 0.41 1.11 0.56

Urena lobata Malvaceae 0.30 0.81 1.10 0.55

Sida acuta Malvaceae 0.18 0.91 1.10 0.55

Cyperus rotundus Cyperaceae 0.74 0.36 1.10 0.55

Phymatosorus scolopendria Polypodiaceae 0.24 0.84 1.08 0.54

Erigeron sumatrensis Asteraceae 0.42 0.61 1.03 0.52

Centotheca lappacea Poaceae 0.58 0.45 1.03 0.51

Fagraeae racemosa Loganiaceae 0.26 0.72 0.98 0.49

Globba pendula Zingeberaceae 0.44 0.54 0.98 0.49

Hyptis suaveolens Labiatae 0.30 0.65 0.94 0.47

Stachtarpheta indica Verbenaceae 0.35 0.57 0.92 0.46

Sporobolus diander Poaceae 0.56 0.36 0.92 0.46

Eichhornia crassipes Pontederiaceae 0.38 0.54 0.92 0.46

Cardiospermum halicacabum Sapindaceae 0.34 0.57 0.91 0.46

Rhynchelytrum repens Poaceae 0.63 0.27 0.90 0.45

Brachiaria mutica Poaceae 0.76 0.14 0.90 0.45

22
Table 1 (continued)—The quantitative estimates of plant species found in one year fallows of

shifting cultivation at Sg. Sarawak Basin (Rd = Relative density, Rf = Relative frequency, Iv = 

Importance value and SDR = Summed dominance ratio). 

Species Family Rd Rf Iv SDR

Lipocarpha chinensis Cyperaceae 0.44 0.45 0.89 0.44

Physallis minima Solanaceae 0.42 0.45 0.87 0.43

Borreria latifolia Rubiaceae 0.32 0.54 0.86 0.43

Ludwigia hyssopifolia Onagraceae 0.23 0.63 0.86 0.43

Sacciolepis indica Poaceae 0.56 0.27 0.83 0.42

Scirpus mucronatus Cyperaceae 0.38 0.45 0.82 0.41

Cassia tora Leguminosae 0.28 0.54 0.82 0.41

Taenitis blechnoides Adiantaceae 0.29 0.52 0.81 0.41

Cordia curassavica Boraginaceae 0.27 0.54 0.80 0.40

Clidemia hirta Melastomataceae 0.27 0.54 0.80 0.40

Elettariopsis curtisii Zingeberaceae 0.39 0.41 0.80 0.40

Cyrtococcum oxyphyllum Poaceae 0.44 0.36 0.80 0.40

polygonum chinense Polygonaceae 0.33 0.45 0.78 0.39

Mimosa pudica Mimosaceae 0.24 0.54 0.78 0.39

Croton hirtus Euphorbiaceae 0.24 0.50 0.74 0.37

Sporobolus indicus Poaceae 0.47 0.27 0.74 0.37

Rubus moluccanus Rosaceae 0.28 0.45 0.73 0.36

Ipomoea cairica Convulvolaceae 0.24 0.48 0.72 0.36

Themeda villosa Poaceae 0.27 0.45 0.71 0.36

Lygodium flexuosum Schizaeaceae 0.35 0.36 0.71 0.35

Tetracera indica Dileniaceae 0.25 0.45 0.70 0.35

Melothria affinis Cucurbitaceae 0.28 0.41 0.69 0.35

Echinochloa crus-galli Poaceae 0.30 0.39 0.69 0.35

Nephrolepis biserrata Olendroideae 0.27 0.36 0.63 0.31

Setaria palmifolia Poaceae 0.35 0.27 0.62 0.31

Tetracera scandrens Dileniaceae 0.25 0.36 0.60 0.30

Scoparia dulcis Scrophulariaceae 0.32 0.27 0.58 0.29

Themeda arguens Poaceae 0.21 0.36 0.57 0.28

Rhynchospora corymbosa Cyperaceae 0.30 0.27 0.57 0.28

Vitis japonica Ampelidaceae 0.27 0.27 0.54 0.27

Borreria laevicaulis Rubiaceae 0.26 0.23 0.50 0.25

Triumfetta rhomboidea Tiliaceae 0.22 0.27 0.49 0.25

Brachiaria paspaloides Poaceae 0.35 0.13 0.48 0.24

Passiflora foetida Passifloraceae 0.22 0.23 0.45 0.23

Tridax procumbens Asteraceae 0.19 0.23 0.43 0.21

Tripsacum laxum Poaceae 0.21 0.18 0.39 0.19

Pistia stratiotes Araceae 0.25 0.13 0.37 0.19

Melochia concatenata Sterculiaceae 0.19 0.18 0.37 0.18

Eragrostis tenella Poaceae 0.23 0.09 0.32 0.16

Dicranopteris linearis Gleicheniaceae 0.18 0.13 0.30 0.15

Amaranthus spinosus Amaranthaceae 0.21 0.09 0.30 0.15

Lasia spinosa Araceae 0.21 0.09 0.30 0.15

Asystasia coromandeliana Acanthaceae 0.18 0.07 0.25 0.12

Typha angustifolia Typhaceae 0.07 0.13 0.20 0.10

Alocasia macrorrhiza Araceae 0.09 0.05 0.14 0.07

Centella asiatica Apiaceae 0.05 0.07 0.12 0.06

23
24

The young Temuda I stage (at approximately 3 to 4

years) is dominated by herbs, sedges, ferns and young

shrubs. Trees generally grow to 3 m in height. The characteristic species are the aggressive sun-loving ferns resam

(Dicranopteris linearis), Nephrolepis biserrata, Blechnum

orientale and bracken (Pteridium aquilinum). The sedges

Scleria levis and Scleria sumantrensis are abundant. Other

species that are widespread in this Temuda are sendudok

(Melastoma malabathricum), rumput naga (Lycopodium

cernuum) and wild banana (Musa spp.). Concurrently,

numerous species of light-demanding fast-growing trees

are establishing and beginning to dominate. This area is

well represented by several Macaranga species as well as

leban (Vitex pubescens), legai (Adinandra dumosa),

Callicarpa pentandra var. pentandra, manyam (Glochidion

spp.), rentap, pulai (Alstonia spp.), terap (Artocarpus elasticus) and the fig, Ficus grossularioides. In highly disturbed

areas such as roadsides, the following are found: simpor air

(Dillenia suffruticosa), empitap (Nauclea pedun-cularis),

tembusu gajah (Fagraea racemosa), the giant grass

(Erianthus saccharinum), and the ground orchid,

(Bromheadia finlaysoniana).

Temuda II represents the successional stage following

Temuda I. It represents succession that occurs between 5 

to 8 years following shifting cultivation. Emerging shrubs

and trees are still very common and significantly characterize this vegetation. Trees may reach 6 m in height but the

canopy is still rather open with pockets of shade due to the

presence of taller trees. The most dominant species in this

stage of succession is Glochidion borneense (Iv = 45.59).

Species is decreasing order of dominance are: Dillenia 

beccariana (Iv = 16.60), Alstonia angustiloba (Iv = 9.72),

Arthrophyllum diversifolium (Iv = 8.30), Xylopia furruginea (Iv = 8.29), Gaertnera vaginans (Iv = 7.04), Ficus

geocharis (Iv = 6.98), Ploiarium alternifolium (Iv = 6.98),

Timonius flavescens (Iv = 6.98), Terenna cumingiana (Iv =

4.81) and Vitex pubescens (Iv = 4.80) (table 2). The occurrence of figs such as Ficus uncinata and Ficus grossulariodes are occasionally accompanied by different Macaranga

sp., Callicarpa sp., ginger (Achasma sp.) and wild banana

(Musa sp.). Also present are Selanking (Artocarpus nitidus),

Trema orientalis, Simpor (Dillenia sp.) and legai (Adinandra

dumosa). All of the original grasses, sedges (such as Scleria

sumantresis), ferns and herbs are still present although the

pioneer herbs are on the decline. In addition the sun-loving

climbers (such as Vitis sp., Uncaria spp., Rubus moluccanus

and the climbing fern, Lygodium) become locally abundant

and often strangle the slower-growing shrubs. Other species

seen in this stage are Pteridium aquilinum, lalang (Imperata

cylindrica), the climbers Meremia and Uncaria sp. and

young trees such as Terennia cumingiana, Pleiocarpidia

sandahanica and Pleiocarpidia enneandra. The estimated

above- ground biomass of Temuda II area is 152.36 t/ha.

Glochidion borneense contributes the most in term of 

biomass. 

Canopy closure takes place at the beginning of the

Belukar 1 stage after about 8 to 15 years. This stage of 

succession is conspicuously dominated by Palaquium

sericeum (Iv = 13.33), Helicia petiolaris (Iv = 12.578),

Artocarpus elasticus (Iv = 11.088), Adinandra acuminata

(Iv = 11.075), Anisophyllea corneri (Iv = 9.187) and

Premna integrifolia (Iv = 7.590) (table 3). The fast-growing trees of the genera Ficus and Macaranga grow gregariously, notably Ficus uncinata, Ficus grossulariodes,

Macaranga beccariana, Macaranga triloba, Macaranga

pruinosa, Macaranga hypoleuca, Ficus geocharis, Macaranga costulata, and Macaranga gigantea. Other common

species are Artocarpus nitidus, Artocarpus elasticus,

Artocarpus anisophyllus, leban (Vitex pubescens), Dillenia

sp., terbulan (Endospermum malaccense) and Callicarpa.

The following species are occasionally established in pure

stands: Macaranga pruinosa, M. gigantea and M. beccariana. Light-demanding herbs, grasses and sedges of Temuda

forest have largely been shaded out, except Blechnum orientale, some species of ginger and Nephrolepis biserrata.

Licuala is quite common among the sparser ground cover.

The estimated above-ground biomass of Belukar vegetation

is 181.8 t/ha. The highest contribution is from Palaquium

sericeum. This is followed in dominance ranking by Helicia

petiolaris and Artocarpus elasticus. In Belukar II (greater

than 20 years old), the dominance of the fast-growing pioneer trees is ending. This vegetation is a transition to mixed

dipterocarp forest. Shade-tolerant species have established

and are gradually becoming dominant. This type of vegetation occupies in a small area along the edge of the mixed

dipterocarp forest.

Although logging creates jobs, brings other commercial

benefits and is less wasteful of forest resources, logging

can be generally destructive when compared to shifting

cultivation practices, due to the following logging effects:

exposure of the soil possibly resulting in severe soil erosion;

long term forest destruction; stream siltation and water pollution; dramatic fluctuations in river levels; and, increased

flooding in down-river settlements (King 1988). Heavy

machinery used in logging operations, such as road construction and skid trails for log transportation, causes

extensive destruction. However, shifting cultivation practices through slashing and burning activities has obviously

led to minimal destruction or site-removal of surface soil.

The results of this survey revealed that fallow areas are

able to restore rapidly during the short period of abandonment. In the early stage, particularly after the first year,
Table 2—Total trees, average dbh, average height, biomass, relative density (Rd), relative frequency (Rf), relative 

dominance (RD) and importance value (Iv) of trees species with a DBH of > 5cm from 5 - 8 year fallows of shifting 

cultivation at Sg Sarawak Basin 

Total Average Average

Species trees dbh height Biomass Rf Rd RD Iv

cm m kg

Endospermum diadenum 39 9.8 12.5 1905.59 8.99 17.10 18.10 44.19

Gaetnera vaginans 41 6.7 8.9 579.88 8.99 17.98 8.26 35.23

Alstonia spatulata 29 8.4 10.4 941.78 7.86 12.72 10.02 30.60

Macaranga becceriana 15 11.8 15.6 1766.70 3.37 6.58 11.46 21.41

Macaranga hosei 8 15 17.3 1269.76 4.49 3.51 8.86 16.86

Helicia attenuata 9 14.7 18.3 1429.90 2.25 3.95 9.40 15.59

Adinandra dumosa 8 8 11.1 192.96 7.86 3.51 2.27 13.64

Litsea varians 3 18 19 721.28 3.37 1.32 4.69 9.37

Cratoxylum arborescens 7 10.8 13.3 389.45 2.25 3.07 3.70 9.02

Glochidion borneense 6 8.5 10 166.30 3.37 2.63 1.97 7.97

Horsfieldia grandis 5 9.1 9.4 128.90 3.37 2.19 1.85 7.41

Fagraea fagrans 4 6.3 7.5 47.33 4.49 1.75 0.75 7.00

Helicia petiolaris 3 13.9 19.7 346.86 2.25 1.32 2.50 6.07

Macaranga gigantea 3 9.5 9.7 101.15 3.37 1.32 1.29 5.97

Sarcotheca glauca 6 8.2 7.7 108.76 1.12 2.63 1.79 5.54

Xylopia furruginea 3 10.7 13 206.06 2.25 1.32 1.73 5.29

Vernonia arborea 3 10.7 13.7 164.18 2.25 1.32 1.55 5.11

Cratoxylum formosum 4 6.5 8.3 44.69 2.25 1.75 0.72 4.72

Kostermanthus heteropetala 5 6.8 10.6 78.39 1.12 2.19 1.03 4.34

Timonius borneensis 3 5.2 7.7 19.55 2.25 1.32 0.34 3.90

Euodia latifolia 2 9.5 11 61.55 2.25 0.88 0.76 3.88

Ploiarium alternifolium 2 8.8 9.5 48.33 2.25 0.88 0.66 3.78

Elaeocarpus nitidus 1 22.4 26 377.06 1.12 0.44 2.10 3.67

Pithecellobium jiringa 2 5.5 9 18.80 2.25 0.88 0.26 3.39

Anthocephalus cadamba 3 6 7.2 38.88 1.12 1.32 0.56 2.99

Millettia chaperii 1 15 12 80.12 1.12 0.44 0.94 2.51

Macaranga pruinosa 2 7.2 9.5 35.61 1.12 0.88 0.46 2.46

Barringtonia sarcostachys 2 6.1 7 16.29 1.12 0.88 0.31 2.31

Artocarpus elasticus 1 12.1 13 56.85 1.12 0.44 0.61 2.18

Hevea brasiliensis 1 10 12 36.17 1.12 0.44 0.42 1.98

Vitex pubescens 1 6.4 10 12.64 1.12 0.44 0.17 1.73

Adinandra acuminata 1 5.8 5 5.31 1.12 0.44 0.14 1.70

Parkia javanica 1 5 8 6.28 1.12 0.44 0.10 1.67

Dillenia suffroticosa 1 4.5 6 3.87 1.12 0.44 0.08 1.65

Anisophyllus disticha 1 3.5 5 1.99 1.12 0.44 0.05 1.61

Garcinia havilandii 1 3.5 6 2.38 1.12 0.44 0.05 1.61

Lepisanthes alata 1 3.5 7 2.76 1.12 0.44 0.05 1.61

152.36 t/ha 

25
26

Table 3—Total trees, average dbh, average height, biomass, relative density (Rd), relative frequency (Rf), relative

dominance (RD) and importance value (Iv) of trees species with a DBH of > 5cm from 8–15 year fallows of shifting

cultivation, Sg Sarawak Basin. (continued on next page)

Total Average Average

Species trees dbh height Biomass Rf Rd RD Iv

cm m kg

Alstonia spatulata 17 22.4 24.8 7621.93 6.56 1.15 28.34 36.05

Fagraea fagrans 16 9.8 12.0 781.29 6.56 2.87 5.93 15.36

Adinandra dumosa 5 23.6 23.7 1984.42 3.28 2.87 8.57 14.73

Ploiarium alternifolium 27 7.3 8.6 476.82 7.38 1.72 4.74 13.84

Arthrophyllum diversifolium 7 15.1 18.3 915.68 4.10 2.87 4.97 11.94

Atuna excelsa 2 10 10.5 63.46 1.64 9.20 0.60 11.43

Ganua attenuata 5 15.7 16.8 1019.04 4.10 1.15 4.62 9.87

Elaeocarpus nitidus 6 12.7 14.5 582.05 3.28 1.72 3.36 8.37

Hevea brasiliensis 6 8.9 10 283.39 4.10 1.72 1.99 7.81

Vernonia arborea 2 30 29.5 1634.34 1.64 0.57 5.55 7.77

Helicia fuscotomentosa 3 23.8 24.7 1422.62 1.64 0.57 5.34 7.55

Chassalia curviflora 3 10.8 11.3 180.00 1.64 3.45 1.27 6.36

Cratoxylum sumatranum 2 20.5 20 699.35 1.64 1.15 3.06 5.85

Dillenia suffruticosa 5 5.1 5.6 26.67 4.10 1.15 0.41 5.66

Timonius borneense 5 9.5 11 169.27 3.28 0.57 1.42 5.28

Litsea varians 3 6.3 8 39.76 1.64 2.87 0.41 4.92

Elaeocarpus stipularis 2 12.3 15 147.43 0.82 2.87 0.94 4.64

Eugenia chlorantha 2 9.4 10.5 68.74 1.64 1.72 0.60 3.96

Litsea paludosa 5 6.9 9.8 85.29 2.46 0.57 0.76 3.80

Croton oblongus 1 26.9 27 561.30 0.82 0.57 2.17 3.57

Nephelium lappaceum 1 21.4 17 226.84 0.82 1.15 1.37 3.34

Endosperma diadenum 1 18.9 21 211.92 1.64 0.57 1.04 3.25

Glochidion borneense 2 7.8 11 72.74 1.64 1.15 0.46 3.25

Sarcotheca glauca 3 9.2 9.3 101.50 1.64 0.57 0.86 3.07

Macaranga gigantea 2 5.2 6.5 15.45 1.64 1.15 0.18 2.96

Endospermum diadenum 2 14.6 15 255.16 0.82 0.57 1.52 2.91

Ardisia macrophylla 1 9.2 7 18.13 0.82 1.72 0.25 2.80

Campnosperma squamata 2 9.8 11.5 67.76 1.64 0.57 0.58 2.79

Terminalia catappa 2 9.1 8.5 41.70 1.64 0.57 0.52 2.74

Elaeocarpus cupreus 2 14.7 16 212.56 0.82 0.57 1.31 2.71

Xylopia furruginea 2 6 7.5 20.47 1.64 0.57 0.23 2.44

Xylopia coriifolia 1 17.8 23 212.56 0.82 0.57 0.95 2.35

Macaranga hosei 3 3.7 4 5.40 1.64 0.57 0.12 2.34

Xerospermum accuminatissimum 1 17.5 18 161.53 0.82 0.57 0.92 2.31

Parkia javanica 2 3.6 3.5 2.91 1.64 0.57 0.08 2.29

Endosperma peltatum 1 9 13 31.82 0.82 1.15 0.24 2.21

Eugenia elliptilimba 1 16 17 128.04 0.82 0.57 0.77 2.16

Ficus durata 1 5.2 5 4.29 0.82 1.15 0.08 2.05

Terenna cumingiana 1 5 4 3.20 0.82 1.15 0.08 2.04

Calophyllum borneense 1 3.5 4 1.60 0.82 1.15 0.04 2.01

Gaertnera vaginans 1 3.5 3 1.22 0.82 1.15 0.04 2.01

Helicia petiolaris 1 3.5 4 1.60 0.82 1.15 0.04 2.01

Palaquium sericeum 1 3.5 4 1.60 0.82 1.15 0.04 2.01

Vitex pubescens 1 14 15 87.10 0.82 0.57 0.59 1.98
clearings are successfully invaded principally by grasses,

sedges, broad-leaved weeds and ferns. Later in the Belukar

stage, the successional pattern is dominated by resourceful

tree species that have a high potential for forest restoration

and rehabilitation. These species can be further selected for

large-scale forest plantation since they are fast growing and

would develop to the commercial size quickly.

LITERATURE CITED

Brower, Z.; Ende, V. 1990. Field and laboratory method 

for general ecology. 3rd ed. Dubuque, IA: Wm. C.

Brown Publisher. 237 p.

Hatch, T. 1982. Shifting cultivation in Sarawak—a review. 

Tech. Paper No. 8, Soils Division, Research Br.,

Agriculture Dept. Sarawak, Malaysia. 45 p. 

Kato, R.; Tadaki, Y.; Ogawa, H. 1978. Plant biomass and 

growth increment studies in Pasoh Forest Reserve.

Malay. Nat. 30: 211–224.

Kim, S.C.; Moody, K. 1983. Minimum sampling size and 

minimum quadrat number for weed data collection in

transplanted rice. Korean Journal of Crop Science. 8(3):

319–22.

King, V.T. 1988. Models and realities: Malaysian national 

planning and East Malaysia development problems.

Modern Asian Studies. 22: 263–298.

Ogawa, H.; Kira, T. 1977. Methods of estimating forest 

biomass. In: Page, A.L., et al., eds. Primary productivity

of Japanese forest. Tokyo, Japan: University of Tokyo

Press. JIBP Synthesis 16: 15-25.

Yamakura, T.; Hagihara, A.; Sukardjo, S.; Ogawa, H. 

1986. Aboveground biomass of tropical rain forest

stands in Indonesian Borneo. Vegetatio. 68: 71–82.

Young, A.; Wright, A.C.S. 1979. Resting period requirements of tropical and sub-tropical soils under annual

crops. FAO/UNFPA Project INT/75/P13. Consultants

Working Paper No. 6. Rome, Italy: FAO. 76 p.

27

Table 3 (continued)—Total trees, average dbh, average height, biomass, relative density (Rd), relative frequency (Rf),

relative dominance (RD) and importance value (Iv) of trees species with a DBH of > 5cm from 8–15 year fallows of

shifting cultivation, Sg Sarawak Basin.

Total Average Average

Species trees dbh height Biomass Rf Rd RD Iv

cm m kg

Litsea elliptica 1 13.9 22 125.11 0.82 0.57 0.58 1.97

Artocarpus kemando 1 5.5 7 6.64 0.82 4.02 0.09 1.93

Norrisia maior 1 12 11 47.48 0.82 0.57 0.43 1.83

Calophyllum obliquinervium 1 12.7 11 53.06 0.82 3.45 0.48 1.75

Prunus arborea 1 10.5 11 36.55 0.82 0.57 0.33 1.73

Adinandra acuminata 1 3.5 4 1.22 0.82 9.77 0.04 1.63

Randia kuchingensis 1 8.5 11 24.16 0.82 0.57 0.22 1.61

Timonius flavescens 1 7.4 5 8.53 0.82 0.57 0.16 1.56

Dehaasia firma 2 4 8 7.52 0.82 0.57 0.10 1.49

Eugenia castanea 1 4.5 4 2.61 0.82 0.57 0.06 1.46

Macaranga beccariana 1 4.5 8 5.12 0.82 0.57 0.06 1.46

Glochidion superbum 1 3.5 5 1.99 0.82 0.57 0.04 1.43

Castanopsis hypophoenicea 1 3.5 4 1.60 0.82 15.52 0.04 1.37

174 181.8

t/ha
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1 Research Silviculturist, U.S. Department of Agriculture, Forest Service, Forestry Sciences Laboratory, 620 S.W. Main St., Suite 400, Portland, OR 97205. 2 Research Forest Products Technologist, U.S. Department of Agriculture, Forest Service, Forestry Sciences Laboratory, 620 S.W. Main St., Suite 400,

Portland, OR 97205.

Proceedings from IUFRO Division 5, Research Groups 5.11 and 5.12, number 4

SUSTAINABLE WOOD PRODUCTION 

IN THE PACIFIC NORTHWEST

Robert Deal1, and R. James Barbour2

BACKGROUND

The Pacific Northwest (PNW) is widely recognized as 

a major timber producing region, with annual timber production averaging 50 million cubic meters for the past

decade (Haynes 2003). As one of the principal timber producing regions in the United States, there has been both

public interest in assuring that forests are being sustainably

managed and a desire by landowners and forest managers

to demonstrate their commitment to responsible stewardship. To address concerns about sustainable forest management, the United States Department of Agriculture (USDA),

Pacific Northwest Research Station, is sponsoring a three

year Sustainable Wood Production Initiative (SWPI) to

identify and understand key issues relating to sustainable

forestry in the PNW. We define sustainable forestry as “the

capacity of forests ranging from stands to ecoregions, to

maintain their health, productivity, diversity, and overall

integrity, in the long run, in the context of human activity

and use” (Helms 1998). We further define sustainable wood

production as “the capacity of forests to produce various

wood products, in the long run, in the context of human

ABSTRACT

The Pacific Northwest of the United States is one of the worlds major timber producing regions, and the regional capacity

to produce wood on a sustained yield basis is widely recognized. Issues relating to the ecological, social and economic

frameworks of sustainable forestry, however, will play a major role in future wood production of the region. The Sustainable

Wood Production Initiative (SWPI) was developed to identify and understand key issues relating to sustainable forestry in

the Pacific Northwest. This initiative will identify key regional issues for the sustainable production of wood including

barriers to sustainable forestry such as environmental regulations, markets and public perceptions of forestry, and develop

an assessment of resource trends and market conditions. 

KEY WORDS: Sustainable forestry, wood production, timber harvest projection models, timber supply, Pacific Northwest.

29

activity and use.” This initiative has identified six issues,

based on client input thus far, that affect the ability of

landowners to sustainably produce wood in the region.

These key issues are as follows: (1) identify and understand

the major issues relating to wood production in the PNW

in the broad context of sustainable forestry, (2) identify

barriers to sustainable forestry and assess the impacts of

market incentives and environmental regulations on sustainable forest management, (3) develop a regional assessment of resource trends and market conditions including

the long-term economic viability of forestry in the region,

(4) assess opportunities for small woodland owners in the

PNW and identify niche market opportunities for small

landowners, (5) identify emerging technologies for wood

products and summarize and synthesize new and existing

information on wood technology, and (6) develop a comprehensive communication strategy for reporting findings

to a broad client base of land managers, researchers and the

general public. Information on these issues will be synthesized and a capstone report will be produced to address the

challenges and opportunities for sustainable forestry in 

the PNW. 
30

IDENTIFY AND UNDERSTAND KEY

ISSUES RELATED TO SUSTAINABLE

WOOD PRODUCTION AT THE REGIONAL

SCALE IN THE PNW

The PNW is a highly productive timber-growing region,

and the regional capacity to produce wood on a sustained

yield basis is widely recognized, however issues relating to

the ecological, social and economic frameworks of sustainable forestry will play a major role in future wood production of the region. We will identify key regional issues in

the PNW relating to sustainable wood production (focusing

on state and private land) including barriers to sustainable

forestry (such as environmental regulations, market incentives, and public perceptions of forestry), and develop an

assessment of resource trends and market conditions. 

Sustainable forest management often does not consider

ownership or local market differences other than contributions of selected ownerships to broad-scale measures. We

will evaluate different land management and ownership

contributions to regional forest productivity including differences among private ownerships (industrial, small and

larger non-industrial landowners), and publicly administered land (federal, state and municipal) that distinctly

define the PNW. 

The SWPI will provide a regional analysis of future

wood industry and resource conditions using established

timber supply models that project scenarios of future development of timber resources across a range of possible scenarios (Adams and Haynes 1996). The initiative will

address barriers to sustainable forestry and investigate the

relative cost and effectiveness of regulatory and incentivebased approaches to sustainable forest management.

Potential alternative management strategies and incentives

will be identified that could reduce barriers to sustainable

wood production while meeting regulatory requirements

and environmental expectations. The initiative will also

examine how selected segments of the public perceive timber-harvesting practices and will develop conceptual models that explain public perceptions about forestry practices.

We will evaluate differences among large industrial and

small landowners and their relative contributions to sustainable wood production in the PNW. We will also summarize and synthesize new and emerging information on

wood technologies and their potential contributions to sustainable wood production. We will explore ways in which

land-use models can be used to predict how landowners

respond to land-use policies and how these land-use

changes might be distributed across the landscape. These

land use models will also be used to explore ways to

address wildlife habitat problems stemming from forest

fragmentation and examine the associated impacts on

wildlife. Lastly, we will summarize and synthesize these

different issues and forecast future forest resource conditions and market trends to identify opportunities and challenges for sustainable wood production in the PNW.

IDENTIFY BARRIERS TO SUSTAINABLE

FORESTRY

The ability of forestland owners and managers to sustainably produce wood in the PNW is impacted by a wide

range of market-based or regulatory incentives and public

perceptions about forestry management practices. This

issue will identify some of the major barriers to sustainable

forestry and address both the impact of regulations on the

ability to produce wood and the effect of market-based

incentives on potentially increasing production. We will

also integrate and evaluate some of the potential compatibilities of wood production with other forest resources such

as wildlife, biodiversity and other forest values. The public

perception of alternative harvest patterns will also be evaluated to assess implications for social, economic and ecological aspects of sustainable forestry.

This work will incorporate three different studies on

barriers to sustainable forestry. One study will investigate

the relative cost and effectiveness of regulatory and market-based incentives to achieve sustainable forestry objectives on private lands. This project will build onto ongoing

research that models cost-effective stand level management

for late successional forest structure and measures the

opportunity cost of achieving regional targets for late

successional forest structure on private land in western

Oregon (Wimberly et al. 2000, Montgomery et al. 2003).

This research will use a timber supply model to estimate

production possibilities for compatible forestry objectives

related to wood production and biodiversity (Adams et al.

2002). Following this work, a range of policy scenarios

will be simulated and compared to the minimum cost outcomes estimated by the timber supply model. These scenarios will be used to evaluate the impact and efficiency of

achieving biodiversity objectives using current and hypothetical regulatory restrictions and market-based incentives

on private land including estate, yield and property taxes,

subsidies, and incentive payment programs.

Another study will identify and investigate potential

alternative management strategies, incentives and educational opportunities that could reduce barriers for sustainable wood production (Lippke and Fretwell 1997, Bare and

Lippke 2002). This project will determine the economic

and environmental impacts of recent regulations for some

small-owner case studies. Similar impacts on larger owners
will be determined with consideration of intra-regional 

distinctions, different tree species mixtures and other environmental factors. Exploratory surveys will also be conducted to determine the problems that owners are having

with permitting processes and the subsequent impacts on

operations. Case studies will be used to determine the effects

of harvesting, stream protection and other treatments. Also

economic analyses and aesthetic metrics will be used to

evaluate the success of different treatments. This research

will be summarized to identify major barriers to sustainable

forestry and opportunities to improve wood production

while also maintaining the intended environmental 

objectives.

Another study will conduct work to understand public

perceptions of alternative harvest patterns in young-growth

forests. This study will develop preliminary conceptual

models explaining how selected segments of the public

perceive alternative patterns of timber harvesting. This

work will explore how various visual cues affect public

responses to a suite of different timber harvesting patterns

as well as how personal knowledge and assumptions affect

the interpretation of those cues (Kaplan 1985, Lucas 1991).

Information for public participants may be particularly

important for evaluating harvest patterns that include

snags, logging debris and other structural material important for soil stability, wildlife habitat or other ecosystem

features.

DEVELOP A REGIONAL ASSESSMENT

OF RESOURCE TRENDS AND MARKET

CONDITIONS

We will develop a regional assessment of forest industry

and resource conditions and evaluate the long-term economic viability and sustainability of forestry in the PNW

region. The goal is to inform policy makers, small and

large landowners, timber processors and other stakeholders

about potential future issues regarding sustainable wood

production in the PNW. We will develop a set of analytical

tools that project future development of the resource and

the industry under a range of possible scenarios (Adams

and Haynes 1996, Adams et al. 2002, Schillinger et al.

2003). We will then use these tools to develop a regional

timber harvest projection model with potential applications

for detailed tree condition class projections of the regional

forest resource. Our information will then be used to assess

resource trends and market conditions for the PNW with

projections forecast across stand to regional scales.

A timber supply assessment will be used that employs

both market-based and volume-flow methods. A timber

supply projection model was developed in Oregon and will

be extended to Washington sub-regions (Adams et al. 2002).

This model simulates market equilibrium conditions and

then includes costs of different silvicultural practices. Trends

in costs, interest rates, volume yields, future expected public timber harvests and potential harvests on public and

private lands can be projected over a 100-year period.

Extending this model to western and eastern Washington

will include different sets of forest management practices,

estimated log demand, harvest costs and yields for different

regions of the Pacific Northwest.

The timber assessment methodology will be expanded

to include timber quality characteristics. Volumes of different tree species and their size, height, and tree crown

characteristics will be used to develop underlying condition

classes and to assess relationships between timber characteristics and industry processing capacity. Timber assessments will be revised to link projections from the timber

supply assessment model to regional scales to insure that

price and harvest projections are consistent across the 

sub-region.

Integrating this information will allow us to project

future resource conditions, harvests given various industrial

capacity and processing assumptions, and responses of

harvest, investment and inventory under different scenarios. We will then apply this information to assess resource

trends and market conditions for the PNW region.

ASSESS MARKET OPPORTUNITIES FOR

SMALL WOODLAND OWNERS 

Private forestland owners are particularly interested in

developing a better understanding of market demand and

supply information and the opportunities of active management of forest land for timber and nontimber products. We

will assess some of the special niche market opportunities

for small woodland owners. In conjunction with small

woodland owners associations and the Northwest Wood

Products Association, we will explore ideas for improving

market opportunities for small woodland owners. One

project being developed is to work with the associations 

to gather market information from small woodland owners

and identify avenues for increasing their market opportunities. We will participate in regional workshops to assess

what small woodland owners know about niche markets,

value-added opportunities and information regarding marketing their products through different buying and selling

cooperatives. Specifically, in each regional workshop we

will work with these associations to develop ideas to: (1)

enhance the awareness of product management and marketing opportunities; (2) establish relationships across the

31
value chain for continued work together; (3) review innovations in technology and organizational relationships that

have been tested elsewhere; and (4) develop a working

database within each region of resource owners and their

prospective suite of forest products and combine this information with current and emerging market opportunities. The

SWPI will be responsible for utilizing the information from

these workshops to identify and understand marketing issues

of importance to woodland owners. This information also

will be used to distinguish commonalities and differences

in marketing opportunities among the regions.

IDENTIFY EMERGING TECHNOLOGIES

FOR WOOD PRODUCTS

We will summarize and synthesize new and existing

technologies for wood products and describe how the forest

industry in the PNW is positioned to take advantage of new

or various market opportunities. This work may include an

overview of the state of knowledge for emerging technologies for wood products and the current and future status of

these new industries in the PNW region. 

We will focus on one or two specific studies to address

this issue. One such study is the development of an outreach program for manufacturing extruded wood-plastic

products for economic development in rural communities.

This work will focus on case studies in the state of

Washington but will have applications for the broader

PNW region. The objectives of the study are to facilitate

the development of business plans to stimulate the creation

of a wood-plastic composite industry in the PNW. This

work will also identify appropriate distribution channels to

market end products. Workshops will be conducted to disseminate information to personnel involved with economic

development.

DEVELOP COMMUNICATION 

STRATEGIES FOR REPORTING 

FINDINGS

We will develop a broad set of technology transfer outlets to provide information for land managers, researchers

and the general public. Different user groups use different

types of outlets for receiving information and we will work

to design, and publish information in ways best suited to

reaching the intended clients. Examples of this work include

USDA Forest Service Research Station publications that

provide technical information for land managers and forest

practitioners. Other outlets are publications in forest research

journals or symposium proceedings or books that address

needs of researchers and scientists. In addition, we will

report information on the SWPI for the general public in

simple to understand language that is accessible to nonforestry audiences. This work may include photographs and

other visual materials that are more effective in conveying

information to the general public than technical or research

oriented outlets.

It is critical that we ensure that all reports are objective

and based on best available science. Regardless of the

medium or outlet, it is essential that all publications be

written in an objective manner. To ensure that publications

are technically sound and use the best available science, we

will insist that all publications be peer-reviewed for quality

assurance and quality control.

SUMMARY

The USDA Forest Service, Pacific Northwest Research

Station is sponsoring the Sustainable Wood Production

Initiative to identify and evaluate key issues relating to 

sustainable forestry in the PNW. The initiative will address

barriers to sustainable forestry and investigate the relative

cost and effectiveness of regulatory and market-based

approaches to sustainable forest management. Potential

alternative management strategies and incentives will be

identified that could reduce barriers to sustainable wood

production while meeting regulatory requirements and

environmental expectations. The initiative will also examine how selected segments of the public perceive timberharvesting practices and will develop conceptual models

that explain public perceptions about forestry practices.

Timber harvest on federal land in the PNW has been greatly

reduced in recent years with increasing market demand

from state and private forest landowners. We will evaluate

differences among large industrial and small landowners

and their relative contributions to sustainable wood production in the PNW. We will also summarize new and emerging information on wood technologies and their potential

contributions to sustainable wood production. Lastly, we

will synthesize these different issues and forecast future

forest resource conditions and market trends and identify

opportunities and challenges for sustainable wood production in the Pacific Northwest.

LITERATURE CITED

Adams, D.M.; Haynes, R. 1996. The 1993 timber assessment market model: structure, projections and policy

simulations. General Technical Report PNW-GTR-368.

Portland, OR: U.S. Department of Agriculture, Forest

Service, Pacific Northwest Research Station. 55 p.

32
Adams, D.M.; Schillinger, R.R.; Latta, G.S.; Van Nalts, 

A.K. 2002. Timber harvest projections for private land

in western Oregon. Corvallis, OR: Oregon State

University, College of Forestry, Forest Research

Laboratory. 37 p.

Bare, B.B.; Lippke, B.R. 2002. Cost impacts of management alternatives to achieve habitat conservation goals

on state forest lands in western Washington. Western

Journal of Applied Forestry. 15(4): 217–224.

Haynes, R., tech. coord. 2003. An analysis of the timber 

situation in the United States: 1952 to 2050. General Technical Report PNW-GTR-560. Portland, OR: U.S.

Department of Agriculture, Forest Service, Pacific

Northwest Research Station. 254 p.

Helms, J.A., ed. 1998. The dictionary of forestry. Bethesda, 

MD: Society of American Foresters. 210 p.

Kaplan, R. 1985. The analysis of perceptions via preference: a strategy for studying how the environment is

experienced. Landscape Planning. 12: 161–176.

Lippke, B.; Fretwell, H.L. 1997. The market incentive for 

biodiversity. Journal of Forestry. 95(1): 4–7.

Lucas, O.W.R. 1991. The design of forest landscapes. 

London, UK: Oxford University Press.

Montgomery, C.A.; Latta, G.S.; Adams, D.M. 2003. 

Modeling cost-effective strategies to achieve structural

old forest area targets in western Oregon. Unpublished

working paper on file, Department of Forest resources,

Oregon State University. Corvallis, OR.

Schillinger, R.R.; Adams, D.M.; Latta, G.S.; Van Nalts, 

A.K. 2003. An analysis of future private timber supply

potential in western Oregon. Western Journal of Applied

Forestry. 18(3): 166–174.

Wimberly, M.A.; Spies, T.A.; Long, C.J.; Whitlock, C. 

2000. Simulating historical variability in the old forests

in the Oregon Coast Range. Conservation Biology.

14(1): 167–180.

33
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1 Research Social Scientist, U.S. Department of Agriculture, Forest Service, Pacific Northwest Research Station, P.O. Box 3890, Portland, OR 97208.

Proceedings from IUFRO Division 5, Research Groups 5.11 and 5.12, number 5

INTEGRATING SOCIAL SCIENCE WITH FOREST

PRODUCTS RESEARCH: THE BENEFITS OF ADDRESSING 

ALL DIMENSIONS OF SUSTAINABILITY

Ellen M. Donoghue1

INTRODUCTION

The on-going debate about sustainable forest management reflects the need to better understand the links among

ecological, economic, and social dimensions of forest management. Biophysical and social scientists are drawn into

the sustainability debate, sometimes unwittingly, because

they produce information that helps clarify these links. The

level of complexity of issues surrounding forest management, coupled with the growing awareness that most forest

management activities have ecological, economic, and

social implications, all but compel scientists to engage.

Science aimed at informing sustainable forest management

may require interdisciplinary research across disciplines

that traditionally have had little interaction. Such is the case

with forest products research and social science. Some

implications and opportunities for integrating social science

and wood products research are discussed in this paper. 

FOREST PRODUCTS AND PEOPLE

Forest products research is increasingly addressing

issues of sustainable forest management, as evidenced 

by the 2003 International Union of Forest Research

Organizations’ Division 5 conference in Rotorua, New

Zealand, titled “Forest Products Research Providing for

Sustainable Choices.” Although forest products research

has a tradition of linking forest products to ecological and

silvicultural dimensions of forest management, it has less

experience linking forest products research with social

dimensions of wood utilization. However, anything less

than full consideration of the three dimensions of sustainability—ecological, economic, and social—may limit the

ways that forest products research can provide for sustainable choices. This poses some challenges, as well as opportunities, for forest products research with respect to how 

35

it can more thoroughly participate in the debate on sustainable forest management. One challenge involves identifying the relations between wood products and people.

Another challenge involves overcoming methodological,

theoretical, and language boundaries associated with 

conducting interdisciplinary research.

Although interdisciplinary research is not new to forest

products research, the integration of social science may

require redefining questions about forest products. Social

scientists think about questions related to wood products by

considering how existing and emerging forest management

and wood utilization practices relate to people. They think

about the people who grow, tend, harvest, process, create,

manufacture, build, buy, and sell wood products. They

think about how people do these things, why they do them,

when they do them, and where they do them. They also

think about the social, cultural, and economic factors that

affect people’s ability to work in the woods, and make and

market products from the woods. People with unique values and knowledge about forests and wood products are

involved throughout all stages of wood production. Some

people have unique knowledge about processes, patterns,

and interactions that they acquired through experience with

wood products. Many people value forests and forest products in ways that are reflected in their lifestyle choices,

occupational choices, and consumption choices. For example, a flooring or furniture manufacturer may value craftsmanship, tradition, or entrepreneurship, whereas a consumer

may value a wood product for utilitarian, aesthetic, or economic reasons. Social science can expand the relevancy

and implications of wood products research by increasing

understanding about values, preferences, lifestyle choices,

and other social and economic factors in the context of

forest management.
OPPORTUNITITES FOR INTEGRATED

RESEARCH

The Ecologically Sustainable Production (ESP) of Forest

Resources Team of the USDA Forest Service, Pacific

Northwest Research Station (USDA 2003b) is an interdisciplinary team of scientists that researches the effects of

forest management activities on forest outputs (goods and

services) over time and at different geographic scales. The

team consists of a wood technologist, a forester, a silviculturist, a biometrician, and two social scientists. Historically,

the team focused on product recovery studies and wood

quality research. However, in order to remain relevant to a

broader audience of science users, particularly those concerned with issues of sustainable forest management, the

team expanded the focus on wood utilization to include

ecological and social sciences. The expanded focus includes

research on forest product valuation and silviculture related

to stand structure and wood quality. It also includes research

related to the social dimensions of forest management, such

as rural community development and societal values toward

ecological functions and wood utilization. The ESP team

researches forest management topics in more than a dozen

western states of the United States where public forestlands

are an important part of the social and biophysical geography. In one area of work, the team is developing an interdisciplinary research agenda that focuses on forest resource

characteristics, wood quality, wood products, and rural

communities associated with densely stocked forests in 

the western United States.

Forest Management in the Western United States

Land ownership in the western United States (U.S.) is

unique among other U.S. timber producing regions. For

example, almost 70% of the forestland in the West is managed by public agencies (federal and state) and much of the

private timberland is held in large tracts. This differs from

the eastern half of the country where approximately 83% 

of forestland is in private ownership and 17% is in public

ownership (Haynes 2003). As in other areas of the United

States, the West has experienced a conversion of forests

from older to younger stands. This, coupled with over a

half century of fire suppression, has led to a high proportion of densely stocked, small diameter stands. In this context, “small diameter” refers to trees of 4–12 inches dbh

(diameter at breast height). These are trees that from both

utilization and economic standpoints continue to pose 

challenges to mills.

Increased concern that densely stocked forests are at

risk of uncharacteristically severe fires and insect and disease attacks has led to a new focus on forest health (USDA

Forest Service 2003a) and nontraditional forest products,

particularly in the western United States. Most of the

emphasis is on densely stocked stands, where the management objectives are to reduce fire hazard and improve forest health through thinning, prescribed burning, and other

prescriptions. These management activities have implications for wood products, particularly those related to small

diameter material. For example, some wood from older,

small diameter trees has properties similar to old-growth

trees, such as tighter grain and small knots. This material

has applications for millwork, moulding, furniture, flooring, and other higher value products. Other small diameter

material may have applications for composite wood products or bioenergy generation. Some uses of small diameter

material may offer economic development opportunities for

small businesses and forest-based communities, although

transportation costs, upfront capital investments, and other

factors may pose barriers. Many rural communities in the

western United States historically have been socially and

economically connected to forests and forest product industries. However, some owners of forest products companies

are unclear about how to make profits from small diameter

material. Other forest-based communities may have small

or non-existent forest products industries but are looking

for economic development opportunities related to small

diameter timber. 

The objectives to improve forest health, reduce fire 

hazard, and generate economic opportunities through small

diameter timber utilization illustrate a prevailing challenge

in achieving sustainable forest management. The challenge

is to understand the ecological, economic, and social interactions of a complex forest management issue. The conventional approach of focusing on a single dimension of an

issue through a single discipline, for example wood product utilization, may no longer be sufficient. Some level of

integration may be necessary to address complex issues.

Recognition, and integration, of the social and economic

dimensions of the small diameter timber issue, for example,

may be an important step to achieving sustainable forest

management.

Social Science, Wood Products, 

and Small Diameter Timber

Although not traditionally integrated with wood products research, social science can contribute in a number of

ways to the management and utilization of small diameter

wood from densely stocked forests in the western United

States. First, many densely stocked forests are in urbanwildland interfaces, where population densities are increasing at the edge of vast areas of public forestlands. The

concern about uncharacteristically severe fires near populated places had led to an increased emphasis on hazardous

36
37

fuel reduction. It has also resulted in a demand for information about changing demographics and the social and

physical infrastructure of communities. The proximity of

people to fire hazard areas also has raised awareness about

risk perception and community preparedness for wildfire.

Social scientists draw on methods and theories from

anthropology, sociology, geography, political science, and

economics to address these types of questions and information needs. 

Second, the utilization of small diameter wood may

provide economic development opportunities for rural, 

forest-based communities. However, harvesting, loading,

hauling, and handling costs of small diameter material can

be high. And, the ability to meet management objectives 

of thinning stands may depend in part on the existence of

facilities that can economically process small diameter

material. The development of value-added products may

offer opportunities for industries that provide employment

for local residents. Social science can contribute to better

understanding of such opportunities through assessments 

of feasibility and employment effects of locating wood 

processing facilities in rural areas. 

Third, social science also can help clarify why some

communities have the ability to take advantage of economic

development opportunities associated with the wood products sector, whereas others do not. The social science literature refers to this as community capacity. This requires

better understanding about community leadership, social

cohesion, work force skills, and physical capital needed to

support such industries. For example, an economic development organization may be interested in supporting a small

mill in a rural community. However, unless the community

has some level of human, physical, and social capital to

lure and sustain the mill, the financial support may be for

naught. 

Fourth, many former timber-based communities in the

western United States have been experiencing social and

economic change in the past several decades. Social 

science can contribute to understanding the dimensions of

community change. For example, this might include

addressing questions about how and why some communities transition from forest products-based to recreationbased economies. 

Lastly, social values of forest management and wood 

products are reflected in informal (i.e., norms) and formal

institutions (i.e., rules and regulations). Social science can

contribute to increased understanding of the institutional

opportunities and constraints for harvesting small diameter

material. This might include an evaluation of federal contracting authorities intended to increase collaboration with

local communities and local businesses. Also, increased

understanding of social values and social acceptability of

forest management practices may help forest managers to

identify a range of forest management options (Donoghue

2003) for managing small diameter timber.

CONCLUSION

Researchers in wood science and wood technology are

increasingly being asked to consider how forest products

research provides for sustainable choices. Where resources,

time, and skills at working across disciplines are present,

research that integrates ecological, economic, and social

dimensions of forest management may address some

important issues related to sustainable forest management.

The integration of social science represents a nontraditional

approach to wood products research. It reflects a growing

recognition that we cannot talk about issues of sustainability

without talking about people. Integrated research about

wood utilization that includes social science may enhance

the relevancy of forest product research in contemporary

debates about sustainable forest management. 

LITERATURE CITED

Donoghue. E.M. 2003. Social values and compatible forest 

management. In: Monserud, R.A., Haynes, R.; and

Johnson, A., eds. Compatible forest management.

Dordrecht: Kluwer Academic Publishers. 429–452.

Haynes, R.W. (Tech. Coord.). 2003. An analysis of the 

timber situation in the United States: 1952 to 2050. A

technical document supporting the 2000 USDA Forest

Service RPA assessment. General Technical Report

PNW-GTR-560. Portland, OR: U.S. Department of

Agriculture, Forest Service, Pacific Northwest Research

Station. 254 p.

U.S. Department of Agriculture, Forest Service. 2003a. 

Healthy forest initiative. http://www.fs.fed.us/

projects/hfi. (September 12, 2003).

U.S. Department of Agriculture, Forest Service. 2003b. 

Pacific Northwest Research Station, Ecologically

Sustainable Production of Forest Resources. http://www.

fs.fed.us/pnw/woodquality. (February 24, 2003).
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1 B. Nebel is a wood researcher and G. Wegener is a wood scientist (Chair of Wood Science) at the Institute for Wood Research Munich, Technical

University Munich, Germany. B. Nebel is currently a research fellow at the Centre for Environmental Strategy, University of Surrey; Guildford, Surrey

GU2 7XH, United Kingdom; Email: b.nebel@surrey.ac.uk

2 Wood scientist at the University of Applied Science Salzburg, Austria.

Proceedings from IUFRO Division 5, Research Groups 5.11 and 5.12, number 6

LIFE CYCLE ASSESSMENT OF

WOOD FLOOR COVERINGS

B. Nebel,1 B. Zimmer,2 and G. Wegener1

INTRODUCTION

The forest and wood industry relied in the past on their

reputation of providing environmentally friendly and sustainable products. However, competition with other materials and customers has created the need to provide facts to

support this traditional reputation. Life Cycle Assessment

(LCA) is a tool to provide these data and shows potential

for improvement during the life cycle of products. 

GOAL AND SCOPE

The goal of the study is a life cycle assessment on wood

floor coverings according to ISO 14040–14043 for the different kinds of wood floor coverings. The comparison of

these floor coverings among each other was not the aim of

the study. Rather, we provided basic data for all wood floor

coverings for a possible comparison with other floor coverings in the future. The main focus was a hot spot analysis

to help involved industry partners in improving their environmental performance and, on the other hand, to use the

results for marketing purposes.

The study considers the whole life cycle of the floorings

from cradle to grave: The first and most important stage of

the life cycle is the forestry. The following stages are saw

milling, production of the floorings, laying, and use. The

end-of-life scenario considers the thermal utilization (fig. 1).

The functional unit is defined as 1 square meter (m2) of

laid wood floor covering assuming average wear and tear

in a home that is completely refurbished after 50 years.

Other functions, e.g. insulation, effects on the room climate

etc., are not considered in this LCA.

39

Allocation rules have to be considered for the co-products such as residual wood and for the provision of thermal

energy, at the end-of-life stage. Since the residual wood is

used for the generation of heat and/or electricity on site, it

stays within the system under analysis, and no allocation is

required. 

However, the thermal energy at the end-of-life stage

leaves the system that is under analysis and is used in a 

different system. With the help of system expansion, this

functional problem is solved. The amount of thermal energy

that is provided by thermal utilisation of 1 m2 wood floor

covering substitutes the same amount of thermal energy

provided with fossil fuels. The emissions from burning

the fossil fuels are therefore avoided and thus subtracted

from the system under analysis (Jungmeier et al. 2002,

Werner 2002). In order to minimize the influence of the

method, the best available technology is chosen for the

provision of thermal energy from fossil fuels.

INVENTORY ANALYSIS

For the saw milling and production stages, data were

collected on site. A total of 15 flooring manufacturers and

4 saw mills, contributing 70% of the German wood floor

covering production, were involved in the project. Data for

laying, surface finishing, and refurbishment were also collected on site. Information on all transports between these

stages was provided by the relevant project partners. The

forestry and end-of-life stages are based on literature

(Schweinle 1996, Speckels 2001). Generic data is based 

on the database of the GaBi-Software 3.2 (IKP 2000).
IMPACT ASSESSMENT

In the Impact Assessment, the following categories

were looked at: global warming (GWP), acidification (AP),

eutrophication (EP), ozone depletion (ODP) and photo-oxidant formation (POCP) (table 1). Furthermore, the use of

primary energy is presented. The calculation of the indicator

results is based on the characterisation models and category

indicators as described in Guineé (2002).

In practice there are several options in the laying and

surface finishing unit processes. Therefore, the impact

assessment looks at a basic scenario with a solvent-based

glue and water-based finish, which are most common in

practice. Due to the lack of data for the provision of an oil

and wax finish, solid floor boards are assessed without any

finish, which is a possible scenario in practice.

In a further step, the results were normalised against

data for the whole economy in Germany (IKP 2000). The

results show that the photo-oxidant formation potential has

the most significant results in comparison to the other impact

categories. The results of the sensitivity analysis proved a

potential for improvement in this category. The use of

water-borne glue instead of a solvent-borne product reduces

the POCP by around 70%.

INTERPRETATION AND CONCLUSIONS

Regarding the impact on climate change, there are two

interesting issues. On the one hand, wood floor coverings

function as a net storage of CO2 during their useful life. On

the other hand, the provision of energy from residual wood

and post-consumer wood can substitute fossil fuels. This

means that the production and use of wood products counteracts climate change in two ways: substitution of fossil

energy and storage of carbon. The low emissions of greenhouse gases during the life cycle can even lead to a negative contribution to the Global Warming Potential if more

emissions are avoided through the substitution process than

there are emitted during the life cycle of the product.

The storage of carbon over a period of time is not yet

incorporated in LCA methodology. Nebel and Cowell (2003)

are currently developing an approach for this methodology.

40

Figure 1—Life cycle of wood floor coverings.
The most important opportunities for improvement are

located in the laying, surface finishing, and refurbishment

unit processes. The POCP result can be reduced significantly depending on the choice of glue and varnish at each

of these stages.

A detailed paper of the full case study will be published

in the International Journal of Life Cycle Assessment.

LITERATURE CITED

Guineé, J. Hrsg. 2002. Handbook on life cycle assessment.

Operational guide to the ISO standards. Dordrecht,

Netherlands: Kluwer Academic Publishers. 692 p. 

IKP. 2000. GaBi3 Version 3.2: Software und Datenbank 

zur Ganzheitlichen Bilanzierung. Stuttgart, Germany:

Institut für Kunststoffprüfung und Kunststoffkunde der

Universität Stuttgart. English version of software available. 

Jungmeier, G.; Werner, F.; Jarnehammer, A.; 

Hohenthal, C.; Richter, K. 2002. Allocation in LCA

of wood-based products. Experiences of cost action E9.

Part I. In: International Journal of Life Cycle

Assessment. 7 (5): 290–294.

Nebel, B. 2003. Ökobilanzierung von Holzfußböden nach 

den Normen ISO 14040-14043. Munich, Germany:

Herbert Utz Verlag. 203 p. Ph.D. dissertation. In

German.

Nebel, B.; Cowell, S.J. 2003. Global warming reduction 

potential of biomass based products: an example of

wood products. Presentation. SETAC Annual meeting

2003, 27–30, April, 2003. Hamburg, Germany.

Schweinle, J. 1996. Analyse und Bewertung der 

forstlichen Produktion als Grundlage für weiterführende

forst- und holzwirtschaftliche Produktlinien-Analysen.

Mitteilungen der Bundesforschungsanstalt für Forstund Holzwirtschaft Nr. 184. Wiedebusch Verlag

Hamburg. In German.

Speckels, L. 2001. Ökologischer Vergleich verschiedener 

Verwertungs- und Entsorgungswege für Altholz.

Mitteilungen der Bundesforschungsanstalt für Forstund Holzwirtschaft Nr. 205. Wiedebusch Verlag

Hamburg. In German.

Werner, F. 2002. Modelling of wood products in life cycle 

assessment with special emphasis on recycling and endof-life. Research and work report 115/48. Dübendorf,

Germany: EMPA Laboratory 115, Group Ecology. 107 p. 

41

Table l—Results of impact assessment

Solid Solid Multilayer Solid floor

parquet parquet parquet boards*

8 mm 22 mm

GWP [kg CO2-equivalent] 7.1 4.4 12.7 0.2 

AP [kg S02-equivalent] 0.103 0.106 0.223 0.064 

EP [kg P04

3 - equivalent] 0.0148 0.01 49 0.0339 0.0098 

POCP [kg C2H4 - equivalent] 0.2821 0.2103 0.4904 0.0808 

ODP [kg R11-equivalent] 0.0000041 0.0000039 0.0000062 0.0000022 

Primary energy [MJ] 534 529 917 213

*Source: Nebel 2003
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SECTION B

NON-WOOD 

FOREST

PRODUCTS
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1 MAPPA Representative, Kathmandu, Nepal.

2 Regional Program Coordinator, MAPPA, IDRC, New Delhi, India.

Proceedings from IUFRO Division 5, Research Groups 5.11 and 5.12, number 7

CONSERVATION AND MANAGEMENT

OF HIMALAYAN MEDICINAL PLANTS IN NEPAL

Nirmal K. Bhattarai1 and Madhav B. Karki2

THE HIMALAYAN REGION

The Himalayan range, popularly known as the HinduKush Himalaya, is one of the world’s richest ecosystems in

terms of biodiversity. This is due to extreme altitudinal

variations with concurrent changes in temperature and precipitation, and differences in soil conditions, which have

combined to create a striking vertical zonation in the natural vegetation. The range covers a length of about 3500 km

stretching from Afghanistan in the west to Myanmar in the

east, and provides a home and protection to more than

ABSTRACT

The Himalayas range from Afghanistan to Myanmar with rapidly depleting medicinal plant resources. Nepal, occupying

the central portion of the Himalayan range represents 6,076 taxa of flowering plants under 1,534 genera and 216 families.

About 5% of the vascular flora is endemic to the country while 30% to the Himalayan range. About 1,600 species have

recorded uses in traditional medicine covering 80% of the rural population. About 100 species of wild plants, including

medicinal plants endemic to the country and the Himalaya, are harvested for commercial purposes. Medicinal plant based

industries are infantile in the country. Over 90% of the commercial collection in Nepal is exported to India, and is the major

source and steady basis for the Indian pharmaceutical and aroma industries. The trade in medicinal and aromatic plants is an

important source of revenue to the government and a major source of cash income to the rural people of Nepal’s impoverished highland villages.

Nepal has a rich medicinal plant resource base, but increasing commercial demands are exceeding supplies. Due to

rapidly increasing population and declining crop productivity, rural needs for off-farm employment opportunities are increasing. This results in increased harvesting of forest resources, which is accelerated by the gradually flourishing medicinal

plant-based domestic industries. As the result, Nepal is facing challenges to sustain its medicinal plant resource base and

safeguard its rich biodiversity.

Recently, attempts to systematically study and evaluate the threat status of wild medicinal plants in the country have

been done through national and international efforts. Based on field studies, potential and viable recommendations to develop

and manage the country’s rich medicinal plant diversity have been provided to the government and donor communities. It is

hoped that more concerted efforts will be launched to conserve and sustain medicinal plant resources of the country and the

region.

KEY WORDS: Medicinal plants, conservation, management, Himalaya, Nepal.

45

12,500 species of higher plants (Dobremez 1996). The

region is also the home to more than 125 million people

who depend on its immense natural resources for their

livelihood.

The Himalayan region is characterized by the limited

amount of land available for cultivation, which is typically

characterized by tiny holdings distributed over rugged

terrain with minimal irrigation facilities. Subsistence agriculture supplemented by livestock and forest products

continues to be the main occupation. 
NEPAL

Nepal occupies the central portion of the Himalayan

range that separates the arid Tibetan highland in the north

and the fertile Gangetic plains to the south, and has diverse

topography, the elevation ranging from 60 m to 8848 m.

The flora of the surrounding territories, the east Himalaya,

west Himalaya, trans-Himalaya and the Indo-Gangetic

plains represents the country.

Having widest altitudinal range in the world within

short distances, Nepal harbors about 35 major forest types,

75 vegetation types and 118 ecosystems. Press et al. (2000)

enumerated 6,076 taxa of flowering plants from the country belonging to 1,534 genera and 216 families including

5% endemic to the country and 30% to the Himalayan

range. Despite immense deforestation and other forms of

habitat destruction in the past, 39.6 % of the land is still

under forest including forest land (29%) and shrub land

(10.6%) (FDRS 1999). 

MEDICINAL PLANTS OF NEPAL

Despite limited ethnobotanical researches, about 1,600

species of higher plants, representing about 20% of the

vascular flora, have been recorded for use in traditional

medicine including Ayurveda, Homeopathy, and Unani.

Considering the shortage of ethnobotanical studies in many

parts of the country and among many tribes and ethnic

groups, the number of medicinal plant species is expected

to increase considerably in the near future.

MEDICINAL PLANTS IN HEALTH 

CARE AND ECONOMY

The indigenous mode of herbal treatment is a part of 

the country’s culture. About 80% of the rural population

are said to rely, marginally or wholly, on herbal remedies.

These remedies are easily available bearing a minimum

cost and, in most cases, is the only available means exhibiting considerable effectiveness (Bhattarai 1989, 1990).

Nepal is a leading supplier of a number of medicinal

and aromatic herbs to the Indian and other international

markets (Bhattarai 1997). Every year 10–15 thousand tons

of plant products of more than one hundred species, valued

at about 10 million U.S. dollars, are collected in the wild

from forest and other vegetation types, most of which is

exported. However, some 20 high-demand and high-value

products constitute about 80% of the volume and value in

trade (Bhattarai and Olsen 2000). 

Most of the herbs are exported in their raw forms, while

a few receive primary processing. Over 90% of the collections are exported to India in their raw states with which

trade links have prevailed since time immemorial. Generally,

most of the medicinal and aromatic herbs exported to India

are re-exported to other countries either raw or processed,

in addition to being used in the Indian pharmaceutical and

aroma industries (Bhattarai 1997).

The trade in medicinal plants is an important source 

of revenue to the government and a major source of cash

income to rural people. Their collection, transportation and

sale have been generating steady sources of off-farm employment opportunities in remote areas where the majority of

the people are poor. Olsen (1998) estimates that 470,000

households in the country are involved in commercial

medicinal plant collection, while Edwards (1996) mentions

this sector provides up to 50% of a family’s income in

certain areas of the country. The forestry sector contributes

about 4% to the national economy while revenue earned

from the nontimber forest products (NTFPs) account for

5% of the total earned from the forestry sector (Edwards

1996).

THREATS TO MEDICINAL

PLANT DIVERSITY

Almost all the medicinal plants and their parts used and

traded are collected from the wild. In the Nepalese context

the use of forest products for local medicinal purposes

alone does not suggest accountable threat to their conservation, although Browder (1992) has provided evidence that

even indigenous people far from markets can deplete forest

goods. Loss of medicinal plant diversity is occurring at all

levels. Ecosystems and communities are being degraded

and destroyed and species are being driven towards extinction. The major human impacts include a significant lowering of the upper timberline, conversion of forests to arable

land, commercial timber cutting, and the construction of

roads, irrigation canals, high-tension electric cables, etc.

These processes have been largely confined to the last century and reached their peak very recently (Bhattarai 1995).

CONSERVATION AND 

MANAGEMENT EFFORTS

The conservation of biodiversity and development 

of herbal medicine have received increased priority very

recently. As one of the signatories of the Convention on

International Trade in Endangered Species (CITES) in

1973 and the Rio Declaration in 1992, Nepal is committed

46
to the protection of the environment through strategies and

measures as presented in a national action plan. Nepal’s

National Park and Wildlife Conservation Act-1973 has

paved ways to establish protected areas in the country. The

last 30 years of nature conservation efforts has resulted in

the establishment of a network of 16 protected areas covering 16.71% of the country’s land (table 1). Out of 118 ecosystems identified in different physiographic zones in Nepal,

80 are represented in the present protected area system with

a varying degree of coverage (BPP 1996). Efforts to extend

protected areas to accelerate biodiversity conservation

efforts are being considered.

Six species of trees, viz. Michelia champaca (Champ),

Acacia catechu (Khayar), Shorea robusta (Sal), Pterocarpus

marsupium (Bijayasal), Dalbergia latifolia (Satisal) and

Bombax ceiba (Simal) have been protected. Some medicinal

plants and their parts have been banned for export in their

raw states, although there is no restriction on their collection and transportation within the country, viz. Cordyceps

sinensis (Yarsagumba), Nardostachys grandiflora (Jatamasi),

Rauvolfia serpentina (Sarpagandha), Valeriana jatamansii

(Sugandhawal), Cinnamomum glaucescens (Sugandhakokila),

Abies spectabilis (Talispatra), Taxus wallichiana (Launth

salla), and species of lichen (Jhyau). The collection and

trade of tubers of Dactylorhiza hatagirea (Panchaunle), the

roots of Neopicrorhiza scrophulariifolia (Kutki) and rootbark of Juglans regia (Okhar) have been banned.

INITIATION OF THREAT ASSESSMENT

The Conservation Assessment and Management Planning

(CAMP) exercise has been recently recognized as a suitable

mechanism to direct available information to assess possibly

threatened taxa and to initiate adequate conservation measures. Medicinal and Aromatic Plants Program in Asia

(MAPPA)-a joint program of International Development

Research Centre (IDRC), Canada and the Ford Foundation

in collaboration with the Ministry of Forest and Soil Conservation, HMG/Nepal and Species Survival Commission,

and the International Union for Conservation of Nature

(IUCN) organized the CAMP workshop in Pokhara, Nepal

in January, 2001, preceded by a pre-CAMP exercise held at

Dhulikhel, Nepal in December, 2000 (Tandon et al. 2001).

The CAMP workshop, first of its kind in Nepal, 48 persons

participated, including 18 scientists from 10 other countries

(Bangladesh, Bhutan, Canada, Denmark, France, India,

Pakistan, Sri Lanka, United Kingdom, and United States)

and 30 Nepalese including botanists, foresters, university

teachers, researchers, traders and collectors. The workshop

assessed the threat status of 51 wild medicinal and aromatic

plant species of Nepal and suggested different levels of

47

Table 1—Protected areas in Nepal

Protected area Estimated Area 

(sq km)

1. Royal Chitwan National Park 1973 932

2. Koshi Tappu Wildlife Reserve 1976 175

3. Langtang National Park 1976 1710

4. Royal Shukla Phanta National Park 1976 155

5. Sagarmatha National Park 1976 1148

6. Rara National Park 1977 106

7. Parsa Wildlife Reserve 1984 499

8. Shey-Phoksundo National Park 1984 3555

9. Shivapuri Wildlife Reserve 1985 144

10. Khaptad National Park 1986 225

11. Dhorpatan Hunting Reserve 1987 1325

12. Royal Bardiya National Park 1988 968

13. Makalu-Barun National Park 1991 2330

14. Annapurna Conservation Area 1992 7629

15. Kanchangangha Conservation Area 1998 2035

16. Manaslu Conservation Area 1999 1663

Total area of the country: 147 181 sq km.

Total protected area: 24 599 sq km (16.71%)
48

Table 2—Details on plant species assessed at Pokhara CAMP (2001) (continued on 

next page)

Threat

Plant species/family statusa Habitb Distributionc

Michelia champaca (Magnoliaceae) CR T Broad

Pterocarpus marsupium (Papilionaceae) CR T Broad

Rauvolfia serpentina (Apocynaceae) CR S Broad

Aconitum balangrense (Ranunculaceae) EN H Nepal

Alstonia neriifolia (Apocynaceae) EN T EH

Corydalis megacalyx (Papaveraceae) EN H Nepal

Crateva unilocularis (Capparidaceae) EN T Broad

Dactylorhiza hatagirea (Orchidaceae) EN H HKH

Dioscorea deltoidea (Dioscoreaceae) EN C Broad

Ephedra intermedia (Ephedraceae) EN H WH

Gloriosa superba (Liliaceae) EN H Broad

Heracleum lallii (Umbelliferae) EN H Nepal

Operculina turpethum (Convolvulaceae) EN C Broad

Oroxylum indicum (Bignoniaceae) EN T Broad

Otochilus porrectus (Orchidaceae) EN EH HKH

Swertia angustifolia (Gentianaceae) EN H HKH

Taxus wallichiana (Taxaceae) EN T Broad

Aconitum heterophyllum (Ranunculaceae) VU H HKH

Aconitum spicatum (Ranunculaceae) VU H HKH

Allium hypsistum (Amaryllidaceae) VU H Nepal

Alstonia scholaris (Apocynaceae) VU T Broad

Arnebia benthamii (Boraginaceae) VU H WH

Asparagus racemosus (Liliaceae) VU S Broad

Butea monosperma (Papilionaceae) VU T Broad

Curculigo orchioides (Hypoxidaceae) VU H Broad

Delphinium himalayai (Ranunculaceae) VU H Nepal

Ephemerantha macraei (Orchidaceae) VU EH EH

Fritillaria cirrhosa (Liliaceae) VU H EH

Nardostachys grandiflora (Valerianaceae) VU H HKH

Panax pseudo-ginseng (Araliaceae) VU H EH

Paris polyphylla (Liliaceae) VU H HKH

Neopicrorhiza scrophulariifolia (Scrophulariaceae) VU H HKH

Piper longum (Piperaceae) VU TH Broad

Podophyllum hexandrum (Berberidaceae) VU H HKH

Rheum australe (Polygonaceae) VU H HKH

Rheum nobile (Polygonaceae) VU H EH

Rubia manjith (Rubiaceae) VU C HKH

Swertia chirayita (Gentianaceae) VU H EH

Tinospora sinensis (Memispermaceae) VU C Broad

Valeriana jatamansii (Valerianaceae) VU H HKH

Jurinea dolomiaea (Asteraceae) NT H HKH

Meconopsis dhwojii (Papaveraceae) NT H Nepal

Rheum moorcroftianum (Polygonaceae) NT H WH

Arisaema costatum (Araceae) LC H HKH

Aconitum bisma (Ranunculaceae) DD H EH

Aconitum ferox (Ranunculaceae) DD H EH

Lilium nepalense (Liliaceae) DD H HKH
Table 2 (continued)—Details on plant species assessed at Pokhara CAMP (2001)

Threat

Plant species/family statusa Habitb Distributionc

Maharanga bicolor (Boraginaceae) DD H EH

Maharanga emodi (Boraginaceae) DD H HKH

Pongamia pinnata (Papilionaceae) DD T Broad

Swertia multicaulis (Gentianaceae) DD H EH

a Threat categories abbreviations: EN (endangered); VU (vulnerable); NT (near threatened); LC (least 

concern); DD (data deficient).

b Habit abbreviations: T (tree); S (shrub), C (climber); TH (trailing herb); EH (epiphytic herb); H (herb).

c Distribution abbreviations: EH (Eastern Himalaya); WH (Western Himalaya); HKH (Hindu Kush Himalaya

49

conservation and management needs for each (table 2). The

participants got familiarized with the application of recent

IUCN Red Listing criteria and the CAMP processes. The

workshop also succeeded in developing human resources

and organizational capabilities for the future CAMP efforts.

TASKS AHEAD

The forestry development program in Nepal is passing

through the tenth plan and medicinal plant resource is possibly one of the most important components of the forestry

sector. Despite this, the forestry sector has failed to demonstrate the need for conservation, development and management of these resources. Conservation of natural resources

is necessary for future generations, and this need has been

so often repeated that the phrase almost loses currency. It is

high time to prioritize in situ conservation and ex situ management of prioritized medicinal plants without overlooking their value-addition potentials within the country.

The protected area systems in Nepal have contributed

greatly to the in situ conservation of biodiversity including

medicinal plant diversity, and the future significance of it

must be recognized. Although 16.71% of the country’s land

including most suitable habitats for different species of

medicinal plants has been brought under protection, the

pressure upon other forests and pastures has increased

beyond their carrying capacities. Yonzon (1993) suggests

that that a significant proportion of the commercial medicinal plants is collected from protected areas.

In spite of efforts underway, there remain many challenges for the conservation and sustainable management of

the wild medicinal plant resources in the country. Medicinal

plants have long been regarded as something to be indefinitely exploited. Despite lack of numerical data, there is

ample evidence that the majority of wild plant species, due

to various human-induced factors are facing different levels

of threat to extinction. It is therefore essential to assess the

threat status and identify the conservation needs of the

country’s flora, particularly for medicinal plant resources. In

this regard the Pokhara CAMP exercise may provide a good

model for future initiatives. The challenges may be tough

but further delay may have irreversible results.

LITERATURE CITED

Bhattarai, N.K. 1989. Traditional phytotherapy among 

the Sherpas of Helambu, central Nepal. Journal of

Ethnopharmacology. 27: 45–54.

Bhattarai, N.K. 1990. Folk herbal remedies of 

Kabhrepalanchok district, central Nepal. International

Journal of Crude Drug Research. 28(3): 225–231.

Bhattarai, N.K. 1995. Biodiversity conservation and 

sustainable development with reference to Nepal. Green

World. 6(1): 14–23.

Bhattarai, N.K. 1997. Biodiversity-people interface in 

Nepal. In: Medicinal plants for forest conservation and

health care. Non-wood forest product series 11. Rome,

Italy: Food and Agriculture Organization (FAO) of the

United Nations (UN). 78–86.

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framework for investigating national importance of

medicinal plant trade. In: Amatya, S.M., ed. Proceedings

of the third regional workshop on community based

NTFP management, South and East Asian Countries

NTFP Network (SEANN). Pokhara, Nepal: Institute of

Forestry. 336–346.

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of the representation of the terrestrial ecosystems within

the protected areas’ systems of Nepal. Biodiversity profiles project publication No. 15. Kathmandu, Nepal:

Department of National Parks and Wildlife Conservation,

Ministry of Forest and Soil Conservation.
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the development of market-oriented extractive reserves

in Amazon rain forests. In: Nepstad, D.C.; Schwartzman,

S., eds. Nontimber products from tropical forests: evaluation of a conservation and development strategy.

Advances in economic botany 9. Bronx, NY: The New

York Botanical Garden. 33–42.

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G.P.S.; Karmacharya, S.B.; Baral, S.R.; Lacoul, P., eds.

Environment and biodiversity in the context of South

Asia. Kathmandu, Nepal: Ecological Society (ECOS). 

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Nepal: aspects of the trade in medicinal and aromatic

plants. FORESC monograph No. 1/96. Kathmandu,

Nepal: Forest Research and Survey Centre, Ministry 

of Forest and Soil Conservation. 

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Forest resource information system project, Publication

No. 74. Kathmandu, Nepal: Department of Forest

Research and Survey.

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Nepal: status and possible improvements. In: Medicinal

plants: a global heritage. Proceedings of the international conference on medicinal plants for survival, 16–19

February, Bangalore, India. New Delhi, India:

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Yonzon, P. 1993. Raiders of the park. Himal. 6(1): 22–23.
1 Forester, Chief Conservator of Forests, Forest Department, D1/7, Government Officers Colony, Devendra Nagar, Raipur, Chhattisgarh, India. 2 Research Forest Products Economics, Vice Chancellor, University of Central India, Raipur, Director SEECO (Socio Economic and Environmental

Consultancy Organization), Chhattisgarh, India and Chairman WIO (Wide Impact Organization), Vidisha, M.P., India.

Proceedings from IUFRO Division 5, Research Groups 5.11 and 5.12, number 8

COMMUNITY-BASED SUSTAINABLE MANAGEMENT OF TENDU 

LEAVES (DIOSPYROS MELANOXYLON ROXB.): A CASE STUDY

OF HARDA DISTRICT OF MADHYA PRADESH, INDIA

Arvind Boaz1 and Olga Boaz2

INTRODUCTION 

Tendu leaves is the local name for the leaves of the tree

Diospyros melanoxylon, a deciduous middle storey tree.

Leaves are collected from the forests of Central India,

especially Madhya Pradesh, which is its largest producer.

The divided Madhya Pradesh produces nearly 35% of the

total production of the country whereas the undivided M.P.

produced 50% of the leaves prior to November 2000. The

scope of the study is to make a more systematic understanding of the true role and potential of non-timber forest products (NTFP) to achieve development and conservation

objectives and how government initiatives can empower

ABSTRACT

Tendu leaves, as Diopyros melanoxylon Roxb., are locally known in the Central Indian State of Madhya Pradesh, have

assumed tremendous importance over the last four decades. The leaves are important because they are used for hand-rolling

of Beedis, a local cigarette. It is not only an extremely important non-timber forest product that serves as a big revenue

earner for the state government but is also an important economic resource to the indigenous tribes and local population

during the summer months when they have no other form of employment. Tendu leaves are collected during the months of

April to June, primarily from pruned shrubby growth since the pruned leaves are higher in quality. The leaves are then sun

dried for a week and stored in gunny bags. The trade has tremendous socio-economic value to the local population and is a

source of income to them in the economically tight summer months. Due to extreme exploitation of the collectors, who are

mostly local indigenous people, the state government had established state control over its collection and trade as early as 

in 1964. Cooperatives were formed later in 1989, with the establishment of a three tier cooperative structure. The state and

the central governments have continuously sought to empower the local populations, and several steps have been taken to

establish ownership rights of the collectors over non-timber forest products. This has culminated in the 73rd constitutional

amendment in 1996 that has given the ownership right over non-timber forest products to the gram sabhas (local groups or

entities). There is an established network of selling agents composed of wholesalers and retailers. Some big companies also

export some beedis (local cigarettes) to neighboring countries like Pakistan, Sri Lanka, Bangladesh, and Nepal and to distant countries such as the United States, France, African and West Asian countries. The quality and sustainable harvesting 

of the leaves has received a boost due to the new Joint Forest Management Strategy initiated by the state government.

KEY WORDS: Tendu leaves, cooperative, community management.

51

the local people to sustainably manage the forest resources.

The locality chosen for the raw material production area is

the Harda district in western Madhya Pradesh-a province

situated in Central India. The study area is situated in

between latitudes 21° 53' to 22° 36' N and longitudes 76°

47' to 77° 20' E. It is thought that the commercialization

of beedi rolling started from Jabalpur in Central India early

in the 20th century. A simple definition of beedi would be

that it is a mixture of blended tobacco, wrapped in beedi

leaves, cut to size, tied with a thread, roasted in an oven to

remove moisture and to give that inimitable flavor that

gives satisfaction and enjoyment to the smoker. 
Nearly one lakh (100,000) standard bags of tendu leaves

(Each standard bag contains 1000 bundles of 50 leaves each

= 50,000 leaves) are collected in India of which Madhya

Pradesh produces nearly 27–30 lakh bags annually. The

whole collection is managed by a large three tier cooperative structure that was established in 1989. The grass root

level leaf collectors are the primary members of the cooperative. Thus, the whole collection is managed by the community. The study area produces 32,000 bags annually. After

collection the bags are stored in godowns (brick walled

sheds) from where they are sold by the Madhya Pradesh

Minor Forest Produce Federation, the Apex state level

organization, to traders and manufacturers. 

Geographical Settings

The study area lies in the Harda District of Madhya

Pradesh. It is located between 21° 53' to 22° 36' North 

latitude and 76° 47' to 77° 20' East longitude. It is bound on

the north by the districts of Dewas and Sehore, in the east

by Hoshangabad district, in the south by Betul and East

Nimar (Khandwa) districts and in the west by East Nimar

and Dewas districts. The total area of the district is 2644.32

square kilometers (km2) with a total forest area of 1059.65

km2 (40.07 % of the total area). In this district, the majority

of the villages are located within the collection area and

therefore, in this study, the total forest area is taken as the

raw material production area, i.e. 1059.65 km2. 

The study area can be divided into the following regions:

• Narmada Plains

• Satpura Hill series

• Budhimai Plateau

The geological strata of the area are as follows:

• Deccan Traps

• Gondwanas

• Metamorphics

The soils of this area are:

• Black cotton soil

• Lateritic soil

• Alluvial soil

As per the FAO soil maps of the world, the soil type is

VERTISOLS. These are soils which after the upper 20cms

are mixed, have 30% or more clay in all horizons, to at

least 50 cms from the surface. At some periods in most

years have cracks at least 1 cm wide to a depth of 50 cms

unless irrigated and have one or more of the following

characteristics-gilgai microrelief, intersecting slickensides

or wedge shaped or parallelepiped structural aggregates at

some depth between 25 and 100 cms from surface. 

The state of water availability is satisfactory, in general,

but frequent fires and excess illicit grazing adversely affect

young regeneration. The configuration of the study area is

mostly undulating with small hills dotting the entire area. 

The area in the Narmada River Basin is partially flat

with small hills dotting the northern end. The elevational

range of the raw material production area (as per Jain 1999)

is 250–595 meters above sea level (m a.s.l). The average

elevation of the Narmada Plains (found mostly in the Handia

Range) is 305 meters (m). A majority of this area will

undergo submergence due to the Narmada Sagar Dam that

is under construction near Punasa. The Satpura Hill series

is undulating. It is comprised of several small hills and spurs

protruding in different directions. Mirchibari (730 m), the

highest hilltop, is located in this area.

The major land uses in the raw material production area 

are listed below by category and absolute area in square

kilometres: 

Major Land Use Area

• Rainfed crop production 1576.88 km2

• Irrigated crop production 1272.38 km2

• Permanent crops 1698.27 km2

• Pasture (includes 

savannahs/woodlands 

which are used for grazing) 215.44 km2

• Swidden fallow 40.36 km2

• Forest 1059.65 km2

• Settled area Negligible

• Marshy/swamp Negligible

In the study area, the average annual temperature is 26

°C or 78°F. The average highest daily temperature varies

from 26.3°C in January to 41.9°C in May. The annual average rainfall is 1209.8 mm or 47.63 inches. The rainy season is from mid-June to mid-September, when 92.16%

rainfall (1115mm) is received. The winter rains (November

to February) are meager. The summer months of March to

June are dry (Shukla 1984).

Forest Types 

The district was carved out of the former Hoshangabad

district, vide Madhya Pradesh (M.P.) Govt. Revenue

Department Notification No.1240-F-20.8.92 seven-Govt-8,

dated July 2, 1998, from the Timarni, Khirkiya and Harda

development blocks. The district is comprised of 6 territorial forest ranges, 30 range assistant circles and 122 beats

(the smallest unit for management control-a demarcated

52
forest area under the charge of a beat guard). The forest

area is comprised of both reserved and protected forests.

The total forest area is listed below by category and

area (acres (ac) or hectares (ha)):

Reserved forest— 242,948 ac or 98 317.652 ha.

Protected forest— 109,415.66 ac or 44 218.446 ha. 

Total 352,363.65 ac or 142 536.098 ha.

(including 7,988 ac or 3 232.631 ha. (PF) of 

Raj Bahari State forest)

The forest types cover is 38.5% of the entire geographical

area.

The bulk of the study area contains teak forests in which

intensity of occurrence of teak (Tectonic grandis) is more

than 50%. As per the classification of Champion and Seth

the forest types of the area are:

1. Type 3B/C1-c South Indian Deciduous slightly moist

teak forests

2. Type 5A/Cl-b Southern Tropical dry deciduous Dry

Teak forests

3. Type 5A/C3 Southern Tropical dry deciduous mixed

forests

The total population as per the 1991 (latest) census was

3,800,762 or 76,152 households with a decadal growth rate

of 26.88%. The female: male ratio was 915:1000. There are

3 towns, 497 villages, 161 village panchayats (local bodies)

and 117 patwari halkas (the smallest unit of the revenue

bureaucratic governance.) The study area has a schedule

caste population of 64104 i.e., 16.84%, schedule tribe

(indigenous people) population of 92,064 i.e., 24.18%. The

literacy is 38.81% (total literate population is 1,470,768).

Most of the villages in the study area are electrified (425

out of 497) and villages with insufficient water during the

year are 459. The cattle population of the area is 2,100,753.

The area is well connected by roads, with 387 kms of metalled and 1179 kms of wbm (water bound macadam) roads.

The Bombay Howrah main B.G. rail line passes through

the division.

METHODS

The data were collected from primary as well as secondary sources.

Primary Data Sources 

The primary source consisted of the heads/educated

members of the tribal households, and the officers and

employees of the forests department. The collection of data

from the tribal members was done through an interview

schedule and observations during the survey. Another set 

of interviews were held with forest officials. Sufficient care

was taken to formulate the questions in such a manner as to

be clearly understood by the respondents, the members of

the primary cooperative societies. Essential factors like

language and sequence were considered when formulating

the questions. Both open and close ended questions were

incorporated in the schedule. The villagers were asked

questions and wherever there was any difficulty in eliciting

responses from the tribal members or there was any confusion, ambiguity or doubt, the question was suitably modified and the sequence was altered sufficiently to suit the

local requirement. 

Secondary Data Sources

Besides the above primary data collected directly from

the fields through various methods stated above, efforts

were made to collect secondary data from following

sources:

1. Census of Harda district 1991, 2001

2. Records of the local district level officers 

3. Secondary data at the grass root level has also been 

collected from the Forest Range offices, primary 

cooperatives and the Joint Forest Management (JFM)

societies. 

4. The Harda District Gazetteer. 

5. District statistical report of Harda district.

6. The working plan of Harda Forest Division.

7. Published data of the forest department of the state 

of M.P.

8. Published report of the Minor Forest Produce

Federation of Madhya Pradesh.

9. Book and articles on the subject given in the

Bibliography.

RESULTS AND DISCUSSION

Review of Government Initiatives for Empowerment 

of the Community

Government policy till 1988—The collection of tendu

leaves on a commercial scale started in the early 20th century. Initially, tendu leaves growing on Government lands

were sold unplucked to the contractors and those growing

on private holdings were disposed off, by the owners of

these lands, in any manner they liked. The Government had

no control over the plucking and disbursement of fair wages

to the collectors and this led to the exploitation of the forest

dwellers that plucked the leaves as well as landowners who

grew leaves. The theft of leaves from government lands

was rampant. Therefore, the state Government enacted 

the Madhya Pradesh Tendu Patta (Vyapar Viniyaman)

Adhiniyam, 1964, (The Tendu Leaves Regulation of Trade

Act 1964) and took over the trade of tendu leaves through

Nationalization (established state monopoly) (Tewari 1981)

53
in order to control theft of tendu leaves from forests and

other government lands. This was also done to ensure payment of proper wages to tendu leaves pluckers, who mostly

belonged to weaker sections of the State. 

After the state took over the trade in tendu leaves in

1964, the tendu leaves producing areas of Madhya Pradesh

were divided into 1826 units. Units were formed in such a

way that a unit produced 2500–3000 standard bags (each

bag of 50,000 leaves, i.e. 1000 bundles of 50 leaves each).

The government appointed purchasers for each unit. Agents

for purchase of leaves at each collection center were also

appointed. The agents collected and delivered the leaves to

the purchaser at the collection centers. The price paid by

the purchaser was based on the number of standard bags of

tendu leaves delivered to him. Over the years, it developed

into a highly exploitative system in which the middlemen

and traders exploited the collectors and kept most of the

profits. 

This system continued till 1980. To overcome the weaknesses of this system, the practice of lump sum payment

for a unit was introduced in 1980. In the same year, the

State Government appointed Madhya Pradesh State

Cooperative Marketing Federation (MARKFED) as its

agent in some units to save the tendu leaf pluckers from

being exploited by the private individuals and companies,

who normally worked as agents.

In order to give more benefits to forest dwellers in 

collection and trade of tendu leaves, the Madhya Pradesh

State Minor Forest Produce (Trading and Development)

Cooperative Federation was formed in 1984 and the work

of tendu leaf collection was entrusted to LAMPS (Large

Area Multipurpose Societies) and PACS (Primary Area

Cooperative Societies). However, during the period 1984 

to 1988, the activities of the Federation in regard to tendu

leaf trade were confined to a few districts to the State, and

the Cooperative Societies played only a negligible role.

(Boaz, O. 1998)

Change Over to Cooperative Structure

The State Government decided to cooperatize the trade,

in order to give the forest dwellers (who collected tendu

leaves) a sense of involvement in the trade and to ensure

more benefits to them from the trade. The essence of this

new scheme is that the collection of tendu leaves is done

by the Cooperative societies of actual collectors of tendu

leaves, so that the tribal members and other backward

classes could secure commensurate monetary benefits 

from the trade. The Primary Cooperative Societies actually

labored in the trade. For the implementation of the new

scheme, a three tier Cooperative structure was designed. At

the primary level, 1947 Primary Forest Produce Cooperative

Societies were constituted with the membership of only

actual pluckers. The chairman of the societies was chosen

from amongst the members only. At the secondary level, 

86 District Forest Produce Cooperative Unions have been

formed. Madhya Pradesh State Minor Forest Produce

Cooperative Federation, which had come into existence

earlier in 1984, is at the apex level of the three-tier structure.

The Resource Base and Characteristics 

of the Raw Material

The new leaves start appearing in the month of March

(fig. 1). They are crimson in color. At the time of plucking

the leaves turn green (fig. 2). Normally it takes 45–50 days

for the leaves to become mature for plucking. The collection in this area starts in the middle of May and continues

until the first week of June, about a week before the onset

of monsoon. The product is primarily used as a smoking

agent to roll beedi, a kind of local cigarette. This is the

only use of this product. The leaves are stored after primary

processing and drying. The leaves are utilized for Beedi

54

Figure 1—New tendu leaves freshly sprouted from root suckers. Figure 2—Maturing leaves.
rolling and are normally used within one year. Old leaves

of more than one year loose their aromatic flavor and color

and are then used for inferior quality Beedi rolling (Boaz,

A. 1998).

The Production Process

There are several steps involved in the production

process.

Pruning

The production process starts with pruning. It is an

established fact that pruning of the trees and bushes results

in better quality leaves that are not only bigger but also

more appropriate for Beedi-making. Pruning is carried out

from the end of February to the middle of March. Initially,

when the collection of the leaves was done by the private

sector, they engaged local people through an agent called

as the “Munshi” who carried out pruning over extensive

areas. After cooperatization, the State government has initiated steps to empower the local pluckers, through its threetier cooperative structure, to start doing the actual pruning.

Initially, the State Government allotted Indian Rupees (INR)

5.00 (about US$ 0.1) per standard bag. They enhanced it to

INR 10.00 (about US$ 0.2) in 1998 and presently the price

is INR 20.00. The work is normally done through the currently well-established Village Forest and Village Forest

Protection Committees, who are given a lump-sum amount

to carry out the pruning work. Thus, the complete control

over pruning activity is now in the hands of the local communities who decide on the area, extent and time period of

pruning. Since the amount allotted for pruning is insufficient to prune the entire area where tendu trees and bushes

occur, the societies and the JFM committee members do

voluntary pruning to get a better crop. Most pruning is

done in tracts that have a bushy or young crop of tendu

(fig. 3). It is also important to know that fire is also a major

factor for improving the quality of the leaves in the forest

areas. As forest ground fires move through these forests

burning the small shrubby growth of shrubs, this results in

a flush of high quality leaves. This practice was adopted 

to a great extent in the past, but has now been restricted 

by the community as they have realized that it is extremely

harmful for the forest health. There is no cultivation of tendu

leaves in this area. (MP Laghu Vanopaj Sangh 1994)

Collection Process

The leaves are mostly plucked from bushes as they are

considered better for rolling of beedis. Leaves are also

plucked from small trees. According to Gupta and Guleria

(1982) the process of plucking of the tendu leaves consists

of five closely related steps:

1. Walking to the tendu growing areas

2. Plucking of leaves

3. Walking back to the residence 

4. Sorting and tying leaves in small standard 

sized bundles.

5. Walking to the collection centers and delivery of the

bundles to the “Phad Munshi”.

Because the activity is carried out in the hot summer

months of April to June, the collectors leave their homes

early in the morning. Almost the entire family is involved

in this activity. Young children also accompany their parents. The activity is extremely important as it contributes a

major share of the income of these forest dwellers in the

lean agricultural season. In nearly all the villages within

the study area where tendu leaves occur, almost all the

families participate in the collection work (fig. 4). In most

of the cases the round-trip distance traveled by a tendu-leaf

55

Figure 3—Fresh flush of tendu leaves in Community Pruned Area. Figure 4—Indigenous people collecting tendu leaves.
collector is about 2-5 kms/day (fig. 5). After the collectors

reach their home, the leaves are graded and tied in bundles

(fig. 6). All infected, immature, torn and small leaves are

rejected. Usually the leaves are tied with a twine made of

Dhak (Butea monosperma Lank Taub). Half of the leaves

(25) are bundled on one side and the other half on the other

side, in order to avoid greater thickness at one end due to

the vein of the leaves and consequent slipping of the leaves.

The bundles are then taken in the evening to the phads for

selling to the phad munshi.(fig. 7). Each collector family is

given a collectors book in which the phad munshi enters

the quantity received from the collector each day, and then

signs the book verify his/her authorization. The collector is

paid weekly on the basis of this record and so cannot be

deceived (Boaz 2002).

An estimate of the average time spent on this activity is

detailed below:

Time spent

S.No. Particulars of work in minutes

1 Walking time (round trip) 60

2 Plucking time 240

3 Grading, sorting & tying 

of bundle 240

4 Delivery of bundles at ‘Phad’ 120

Total 660 = 11 hrs 

Source: Prasad and Bhatnagar (1991)

Nearly 70% of the annual production in the raw material

production area is collected from the wild naturally reproducing population. The remaining 30% of the annual production is collected from the managed population in a

forest environment. These remaining areas are pruned for

better leaf production by the villagers belonging to the forest protection committees, village forest committees and

the Primary cooperative societies. Funding for pruning is

received from the M.P. Minor Forest Produce Federation

(INR 20 per bag in 2002). In some areas, these committees

organize pruning from their own funds and on a voluntary

basis.

The data for tendu leaf production for the last five years

are given below (MP MFP Federation 2000).

1996 26,840 standard bags

1997 23,838 standard bags 

1998 32,133 standard bags 

1999 33,379 standard bags 

2000 36,815 standard bags 

56

Figure 5—Back from the jungle after a good leaves collection.

Figure 6—The whole family tying tendu leaves in bundles.

Figure 7—Purchase of leaves at PHAD (Purchase Center) and their

spreading out in the open field for sun drying.
There has been a decrease in production in 1997 compared to 1996. This fluctuation in production has been partly

due to natural causes such as: temperature, unseasonable

rains and drought that affect the sprouting of leaves, hail,

floods and insect infections.

Leaf Procurement

Since tendu leaves are a nationalized minor forest product, they can only be purchased by the government or its

authorized agent. The state government has appointed the

M.P. Minor Forest Produce federation as its sole agent. The

federation in turn works through the District Unions and

the Primary Forest Cooperative Societies. These societies

have been established for a group of villages depending

upon the quantity of tendu leaves produced in the area.

Normally, one primary cooperative society is formed over

an area producing 2000–2500 standard bags of tendu leaves.

Only genuine collectors can become members of these

cooperative societies. These collectors then elect a President

and an executive committee from amongst the membership.

The local forester is the ex-officio Secretary of the society

and acts as a facilitator. The Primary Societies open a

purchase center for procurement of leaves from a group of

villages. These centers, known as “PHADS,” are established in specific locations so villagers do not have to walk

far (not more than 2-4 kms) to sell their collected product.

The Primary Societies appoint a clerk known as Phad

Munshi at each collection center for procuring leaves, paying wages to the pluckers and maintaining the accounts of

the leaves as well as the funds. He also acts as a link

between the villagers and the federation to get facilities

like group insurance to the collectors. A supervisory government functionary known as the “Phad Abhirakshak” (who is

usually a forest guard) is appointed by the federation to

control the quality and quantity of the leaf. He also ensures

timely and proper payment. The payment is made in the

presence of the local panchayat officials to keep a check on

frauds and avoid cheating of the mostly illiterate collectors.

A nodal officer is appointed for each Primary Society to

control and regulate the flow of cash. This nodal officer is

usually a forest deputy ranger or forester. Transportation, 

in the form of a jeep, is made available to the Nodal officers

during the season. The Federation also appoints the local

Territorial Divisional Forest Officer as the Managing

Director of the District Union and his sub-divisional officer

as the deputy Divisional Manager to oversee the work and

ensure smooth collection and storage of the product. Each

Unit has about 20 to 40 purchase centers. At present, there

are over 20,000 collection centers in the State.

Primary Processing

After the leaves are purchased by the phad munshis,

they are spread out in open fields for air drying. To keep a

count of the number of gaddis, the collectors are asked to

make “Chattas” or groups of 100 bundles in a linear manner for ease of counting and checking by the supervisory

staff. The hot scorching sun dries the leaves and they are

turned upside down, on the third day, to ensure proper

57

Figure 8—Turning bundles upside down after 3 days for uniform drying

in sun.

Figure 10—Tendu leaves packed in gunny bags ready for transportation

to godowns.

Figure 9—Dried tendu leaves bundles ready for packing in 

gunny bags.
drying on both sides (fig. 8). In some areas, where there is

an attack of termites, some insecticide is spread over the

fields prior to spreading out the bundles for drying. After

the 6th or 7th day, the leaves are collected together in heaps

of 5,000–10,000 bundles (fig. 9). The packing of bundles is

now done. Packing is itself an art and packing parties from

Gondia, a district in Maharastra, are usually called. Packing

is extremely important as the dry leaves become brittle and

are easily damaged in packing. On packing day, the heaps

are watered in the evening and covered with jute bags

(Bhhakkus as they are called locally), and left to soften for

3–4 hours. The leaves get softened during this period due to

the moisture and steam generated because of the heat of the

dry leaves. The softened leaves are then carefully counted

and packed in thin gunny bags of size 90 cms x 125 cms

(fig. 10). Each bag can hold around 500 to 800 bundles

depending upon the size of the leaves. The bundles are

carefully set from the bottom upwards in such a manner

that they are laid layer upon layer. This avoids breakage of

leaves even at a later stage when the leaves become dry and

are subject to manhandling during transportation to distant

places. Once the jute bags are filled, the openings are stitched

closed and left to dry in the open for about two days. After

drying, the bags are transported (fig. 11, 12) to godowns

(brick walled sheds), where they are stored (fig. 13, 14)

until they are sold.

All the above operations are managed by the cooperative society with the help of the forest department who act

as facilitators. Over the years, through a gradual process of

empowerment and motivation, the collectors have learned

to manage the operations efficiently. It was heartening to

note that in spite of the whole operation being so timeconsuming and exacting, all operations were carried out

with ease and all of the product collected was safely stored

inside the godowns before the onset of monsoon.

Socio-Economic Impact on Local population

The empowerment of the local communities has led 

to the sustainable management of tendu leaves as now the

communities feel confident that the effort that they will

make in its management is for their own benefit. It has 

led to the augmentation of rural income as it gives massive

employment generation especially in summers-the economically scarce period when no other employment is available.

This takes care of both unemployed and under-employed in

the Harda district as the total annual money distribution in

Harda district is INR 25 million (INR 15 million as wages

and INR 10 million as income distribution after sale of the

product). The total value of tendu leaves produced in

Central India (Madhya Pradesh and Chattisgarh combined)

is INR 3,000 million (collection wages INR 1,800 million

+ income distribution of INR 1,270 million). The major

impacts on the socio-economic conditions of the local 

population in Harda district are summarized below:

1. The tendu leaves trade contributes about 16% of the collector’s annual household in Harda. 

2. It prevents the need for migration to search of work during summer months. 

58

Figure 11—Tendu leaves packed in gunny bags

being transported by bullock carts.

Figure 12—Tendu leaves packed in gunny bags Figure 13—Leaves being taken inside godown.

being transported by trucks.

Figure 14—Tendu leaves gunny bags stored in godown (brick walled

permanent sheds).
3. The gradual empowerment of local populations has 

led to overall improvement of community facilities at

the village level by returning INR 3 million/yr of

financial resources back to the primary cooperatives in

the form of income distributions.

4. There has been a gradual increase in production of 

tendu leaves due to re-investment of income (INR 2

million annually) being used to improve forests and 

sustainable community management of the resource.

This has resulted in increased income from this resource

to the locals.

5. Better returns from tendu leaves has led to increased

food security due to increasing agricultural production

(increased input of good quality seeds, fertilizers and

insecticides) and increased buying power. 

Critical Success Factors

1. An effective legal framework for nationalized NTFP

trade. 

2. The appointment of the Minor Forest Produce 

Federation as a sole agent for trading and development

of nationalized NTFPs in 1964.

3. Cooperatization of tendu leaf trade in 1989 with

the establishment of a huge three-tier coop structure

composed of:

1947 primary forest cooperatives

80 district unions

An apex federation

4. Establishment of ownership rights for the local population over NTFP in line with the provisions of the

Panchayat (Extension to the Schedule Areas) Act , 1996

and their endowment based on the following principles:

Harvesting of NTFPs on a non-destructive basis.

Members of gram sabhas will be free to collect 

forest products for their own use. 

The manner, frequency and intensity of collection

for any other use to be in accordance with prescriptions of a management plan prepared by Zila

Panchayat (District Government) in conformity to

guidelines issued from time to time.

5. Distribution of net profit from trade to the primary 

cooperatives and collectors

100% net income generated from tendu patta trade

to primary cooperatives, who are obligated to redistribute it as follows:

50% to primary collectors,

20% for development of NTFPs and regeneration 

of forests, and

The remaining 30% goes to rural infrastructure

development/cash payments.

Joint Forest Management policy implemented in state

for ensuring community participation in sustainable

NTFP/forest management.

The Community Response

1. The community organized themselves, through government facilitation, into a well managed cooperative structure. A total of 8 cooperative societies were formed in

Harda district and 1947 in the states. Greater than 2.4

million collector’s families, mostly tribals, were enrolled

as members.

2. The members of the society were free to choose the

chairman of the society from amongst themselves. This

led to informed decision making at the society level and

great confidence building.

3. The low-income pluckers were made owners of NTFP

and not just mere wage earners. This motivated them to

participate in all aspects like collection, primary processing, godowning and marketing of tendu leaves. This

also brought about an awareness of their rights and

consequent empowerment.

4. The massive structure of the cooperatives did away 

with exploitative practices and ensured weekly payment

of proper wages to collectors through a watchdog committee of local villagers at each collection center.

5. The community took an active interest in implementation

of the biggest social security insurance process in the

country.

6. The members took part in participatory decision-making

that involved the entire community for establishment

of infra-structural projects based on income generated

from tendu leaves for the general good. The community

thus became proud owners of the assets generated and

this led to greater harmony within the community.

7. The community realized that whatever actions that 

they undertook in the cooperative society were for their

own good. This ensured pruning of bigger areas through 

community participation leading to improvement of

quality/ quantity of leaves.

8. The whole process helped convert open access resource

to community managed resource and helped establish

linkages with the Joint Forest Management committee.

9. The active participation of the community has ensured

dovetailing of traditional knowledge about the sustainable harvesting of tendu leaves. This has helped in the

government approach of participatory forest management

and ensured better returns to the local population.

59
Conservation Issues

1. Since the product is leaves, it does not have much

adverse damage on survival and growth of the plant.

Moreover, the harvesting period is limited to only two

months in a year, hence the product has a very big

potential for sustainable harvesting.

2. Since the best leaves are obtained from pruned shrubs,

there is a tendency to maintain it as such by constant

pruning, leading to a preponderance of shrubby growth.

This has a negative impact on seed production and may

lead to the plant becoming susceptible to diseases. 

3. Though the tendency of setting fire to the forests to

encourage growth of root suckers has been greatly

curbed due to active community participation, it is still

prevalent in certain areas. The involvement of the JFM

network is a welcome step to curb this menace.

4. Since tendu leaves provide a major economic activity 

in lean summer months, they help in forest conservation.

Otherwise, the local population would have engaged in

the most readily available economic activity, which is

cutting down forests to sell for fuel-wood. This economic

activity would then lead to forest destruction.

5. In certain areas, there is need for improvement of plucking techniques as the local populations tend to pluck

immature leaves as they seek to pluck more leaves and

to ensure that others do not pluck the leaves left by

them. Also, the local populations tend to strip the whole

branch, because it is easy but this is harmful because all

leaves get plucked, even immature ones, and are later

discarded.

CONCLUSIONS

Future Implications

1. The success of the cooperatization of tendu leaf harvest

has led the state government to make forays into the

management of non-nationalised NTFPs. The government needs to provide a greater role as a facilitator as

this field as this field has a vast potential to ensure livelihood security to the dependent population.

2. There is also a need for better marketing of tendu leaves

as the market has stabilized and there is need to diversify

through better product research and extending the horizon of marketing the product. 

3. There is also a need for better pruning practices to be put

into place so that the whole collection area is subjected

to pruning over a periodic cycle, like coupes (standard

yearly working areas) working in forestry working plans.

The community-based sustainable management of tendu

leaves in Central India is one of the best examples of a successful cooperative model of NTFP sustainable management.

Through various government initiatives, the community has

been empowered and made owners of the forest products

and have been successfully engaged to sustainably collect,

process and market a perishable and exacting NTFP, like

tendu leaves and ensure proper profit sharing. As a result,

this has not only improved their economic status through

equitable sharing of profits, but also their village infrastructure and NTFP development, as well as regeneration of

forests by re-investment of part of the profits earned from

sales of the NTFP resource. 

ACKNOWLEDGMENTS

The authors would like to thank all the officers and staff

of Harda Forest division, who constantly supplied information and helped us interact with the tribals living in the

remotest areas of Harda district and Forest Division. We

owe our heartfelt thanks to the tribals inhabiting the remote

tracts of Harda forest division, who whole-heartedly spent

long hours with us and supplied us with information that

gave this paper a new vision. We could get an in-depth look

into the dependent status of the local population and the

efforts and problems they had to face to bring the community management of tendu leaves in Harda district to its

present status.

LITERATURE CITED

Boaz, A. 1998. Adivasi Uthan mein laghu vanopaj ka 

yogdan. Bhopal, India: Vision Publications. 59–62.

Boaz, O. 1998. Financial analysis of the MP MFP

Federation, Bhopal, India.

Boaz, O. 2002. Role of NTFP in tribal economy with 

particular references to Harda District. Ph.D. dissertation.

Gupta, T.; Guleria, A. 1982. Non wood forest products in 

India., New Delhi, India: Oxford and IBH Co.

Jain, A.K. 1999. Working plan for the Harda forest division,

Chief Conservator of Forests, Working Plans, Satpura

Bhawan, Bhopal, 2000–2001 to 2009–2010.

60
61

MP Laghu Vanopaj Sangh. 1994. Report of the National 

Workshop on Tendu Patta Collection and Trading

Strategies. Bhopal. 21/10/1994.

MP MFP Federation. 2000. Collection and trade of NTFP

in Madhya Pradesh. Vikas Bhawan, M.P. Nagar,

Bhopal, India.

Prasad, R.; Bhatnagar, P. 1991. Socio-economic potential 

of minor forest produce in Madhya Pradesh. Jabalpur,

India: State Forest Reseach Institute. 14–24.

Shukla R.K. 1984. Working plan for the reserve and protected forests of Harda Forest Division 1984–1999.

Chief Conservator of Forests, Working Plans, Satpura

Bhawan, Bhopal.

Tewari D.N. 1981. State trading in forest produce in India. 

Dehradun, India: Jugal Kishore and Company,

Publication Division.
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1 Research Forest Products Economics, Vice Chancellor, University of Central India, Raipur, Director, SEECO (Socio Economic & Environmental

Consultancy Organization), Raipur, and Chairman, WIO (Wide Impact Organization), Vidisha, M.P., India. Res: D 1/7, Government Officers’ Colony,

Devendra Nagar, Raipur, Chhattisgarh, India 492009. Email: olgaboaz@yahoo.com

2 Forester, Chief Conservator of Forests, Forest Department, Station Road, Raipur, Chhattisgarh, India. Email: draboaz@snacharnet.in

Proceedings from IUFRO Division 5, Research Groups 5.11 and 5.12, number 9

THE ECONOMIC ASPECTS OF AGAVE AMERICANA: A CASE STUDY

OF ITS SUSTAINABLE MANAGEMENT BY A TRIBAL CO-OPERATIVE

SOCIETY IN JAGDALPUR DISTRICT OF CHHATTISGARH, INDIA

Olga Boaz1 and Arvind Boaz2

INTRODUCTION 

Agave americana is a non-timber forest product that 

has been planted over extensive areas in Central India. The

leaves yield a fiber used for rope making. Initially, the forest department started planting this species as a hedge plant

on the periphery of plantations as a protection against grazing. Later, the potential of this species as a producer of

strong fiber was realized and a scheme was launched by

the Government of India for its large scale propagation. The

Forest department had planted Sisal over 171 hectares (ha)

in the Kolchur area of Jagdalpur district. About 5000 plants

were planted per ha. Looking into the success of the plantations, the local foresters thought of establishing a processing unit to convert sisal leaves to fiber that had ready

demand. Moreover, there were hardly any sustained means

of livelihood for the tribals, who survived only on primitive

agriculture and collection of non-timber forest products. A

ABSTRACT

Agave americana is a non-timber forest product that has been planted over extensive areas in Central India. The leaves

yield a fiber used for rope making. The present study is about a successful project in Jagdalpur district in Chhattisgarh state

of India, aimed at providing sustainable livelihood support to the fringe forest area villagers through establishment of a primary processing center based on the processing of Sisal leaves. Work on this project started in April 1990. A co-operative

society was registered vide Registration No. AR/BTR/162 dated April 23, 1990. It had 38 members out of which 70% were

tribals. Presently, each beneficiary cuts mature leaves from the plantations, cures and takes out the fiber and makes nearly 5

kgs of fiber each day. They are paid in INR (Indian Rupee) 12 per kg through society funds. The fiber is collected by the

society and sold to the end-users. The annual production of Sisal Fiber from this unit is nearly 15–18 tons. The beneficiaries

have been trained to make rope and art objects for which there is a growing demand with higher returns. The net income

after wage payment and meeting expenses like repairs and electricity is redistributed annually to the beneficiaries as a bonus.

The society has been running successfully for the past 12 years and the net monthly income to each member is about INR

1500. The members have started replanting the plantation areas with suckers and bulbils, so that perennial supply of leaves

is ensured. 

KEY WORDS: Sisal leaves, tribal co-operative society, sustainable livelihood support.

63

co-operative society comprising of the local people was

registered vide Registration No. AR/BTR/162 dated April

23, 1990. It had 38 members out of which 70% were tribals.

Four electric decorticating machines, a shed and water tank

were established. The total cost of the project was INR

2.50 lakhs and funds were drawn from the District Rural

Development Agency (DRDA). Work on the project started

in April 1990. The society has been running successfully

since the past twelve years and has provided sustained

employment and profit to its members. The society has

been running successfully for the past 12 years and the net

monthly income to each member now comes to about INR

1500-2000. The members have also started replanting the

plantation areas with suckers and bulbils, so that a perennial

supply of leaves continues. This project is one of the most

successful models of sustainable NTFP management providing sustainable livelihood support to the downtrodden. 
METHODS

The success of the project prompted the authors to study

it in detail. Normally, such projects are launched with much

fanfare but due to lack of continuity of effort on the part of

the departmental staff and lack of capacity building in the

beneficiaries, they are gradually abandoned. The method

employed by the authors was to gather both primary and

secondary data. The secondary data was taken from available official records and the accounts maintained by the

committee. Then an interview schedule was designed and

the members of the co-operative society were interviewed

to get all information regarding their way of working and

how they were able to manage all operations right from

cutting of leaves to selling the produce. The members of

the society praised the forest corporation staff who acted 

as their guides and facilitators to help them run their show.

The foresters were also interviewed to get the details of the

help they had extended over the years to make the society

members so educated and motivated so as to run the processing unit independently, without any subsidy or financial

help from the forest department or the government. The

authors also contacted the end-users to enquire about the

quality of the material supplied by the society and their level

of satisfaction and why they had come back again and again

every year to buy the material from this co-operative society.

RESULTS AND DISCUSSION

The Co-Operative Society 

The co-operative society was established on the initiative of the local forest officers in 1990. The underprivileged people of the villages adjoining the sisal plantations

(fig. 1) were chosen. The criteria of selection were that all

members would be chosen from tribals and those living

below the poverty line and should not be land owners or

with means of sustained income. The co-operative society

was registered under the Madhya Pradesh Co-operative

Societies Act vide Registration No. AR/BTR/162 dated

April 23, 1990. It had 38 members initially who belonged

to the Muriya, Mahara, and the Dhakad communities of

Bharni, Kolchur, Takragud and Joldaguda villages. The 

by-laws of the society provided that the President and the

Secretary of the society would be elected from amongst the

members and a facilitator or advisor would be the local 

forest guard/forester.

The Process Adopted 

It was indeed good that right from its inception, the 

co-operative society was managed independently and did

not run on the crutches of the forest department. Initially

the District Rural Development Agency (DRDA) provided

funds for the project in the amount of INR 2.50 lakhs. Two

electric decorticating machines, a shed, and water tank

were established. A working capital of INR 1.00 lakh was

also provided for the project. Work on the project started in

April 1990. 

The society members decided amongst themselves 

that the work will be carried out on job basis and only the

members will be able to use the machines for decortication

of the fiber. The decorticated finished fiber will be bought

at a fixed rate to be decided by the committee. The society

will bear the cost of electricity and any repairs to the

machines and will then sell the produce to the buyers.

The actual processing method adopted by the members

was that each beneficiary went to the plantations in the

morning to cut mature leaves (fig. 2). He tied them into

bundles (fig. 3) and transported them (fig. 4) to the processing unit site at Kolchur. Here he decorticated the leaves

in the electric decortication machine (fig. 5), when his turn

came. Afterwards, he cured the leaves in the water for about

four hours and then cleaned the fiber by beating to free it

64

Figure 1—A well established Agave plantation near Kolchur. Figure 2—Society members cutting Agave leaves from plantations.
of any powder that clung to it during decortication. The

cleaned fiber was then hung up for drying (fig. 6). The final

product was then weighed and tied in bundles of 50 kgs.

The beneficiary was paid on the basis of the quantity in kgs

of the fiber he produced.

Financial Implications

The rates paid to the beneficiaries for making one kilogram of finished Agave fiber and its selling rate per kilogram

obtained by the society in different years are provided in

table 1.

Table 1—Purchase rate and selling price of Sisal fiber

Purchase rate paid Selling price

Year to beneficiaries of fiber

--------INR/kg-------

1990-1993 8.00 15.00

1994-1997 10.00 16.00

1998-2000 11.00 18.00

2001-2003 12.00 20.00

The average fiber production from 100 kgs of green leaf

after decortication is around 4 to 4 1/2 kgs. On an average

each active beneficiary produces around 125 kgs of fiber

per month and gets around INR 1500/ per month as wages.

The processing unit is closed during the three monsoon

months of July, August and September when annual repairs

to the machinery is done and the society members get

employment elsewhere in farmers fields, plantation activity

etc. Thus, on an average the beneficiaries get employment

in this processing unit for a period of nine months and earn

a wage of nearly 13,500 annually. 

It was noticed that not all members of the society were

equally active in the working of the committee. Every year

the number of active members varied and was around 9 in

the initial years but has now swelled to 16 in response to

the gradual stabilization of the working of the society and

its growing income (table 2).

Table 2—Progress of Sisal fiber production at Kolchur

Quantity of Wages No. of

Year fiber produced paid beneficiaries

kgs In INR 

12 per kg

2000-2001 9,569.50 1,14,834 9

2001-2002 15,276.50 1,83,314 14

2002-2003 17,797.50 2,13,570 16

65

Figure 3—Society members tying cut leaves in bundles.

Figure 4—Society members transporting cut leaves bundles

to the Kolchur processing centre.

Figure 5—Society members decorticating Agave leaves on 

motorized decorticating machines at Kolchur Centre, Jagdalpur. 

Figure 6—Drying Agave fiber after decortication in the sun.
The society has also made forays into value addition to

the fiber produced in the last three years. It has started to

make rope (fig. 8) from the fiber that has its demand in the

Electricity Board where it is used by the linesmen. The rope

is sold at INR 30/ per Kg whereas the fiber is sold currently

at only INR 20/- per Kg. The making charges of rope are

only INR 4 per Kg and there is wastage of 10% during

processing. This leads to a net value addition of INR 4/ per

Kg. Another innovation that is being tried is the manufacture of handicraft items (fig. 9, 10, 11) from the fiber that

has very good demand. This has a very high value addition

potential.

The society has been efficiently managed by the members

themselves with the forest department playing a facilitatory

role. They have been successful in regularly marketing their

produce (fig. 7) and also limit their expenses. This has resulted in a regular profit to the society each year. The society

regularly pays all its electric and machine repair bills and has

earned the rare distinction of being a co-operative society

that has got its accounts regularly audited and submitted to

the co-operative department. The seed capital of INR 1 lakh

that was given to it has now swelled to nearly INR 4 lakhs

and the society is managing to buy all the fiber produced

from its own funds (table 3).

Table 3—Financial Report of the Kolchur co-operative society

Unsold fiber Produced Sold during Balance unsold

Year of last year during year Total year Net profit fiber in stock

kgs kgs kgs kgs INR kgs

2000-2001 5 393.50 10 386.00 15 779.50 9 683 28936 6 096.50

2001-2002 6 096.50 15 403.50 21 499.50 12 182 75236 9 317.50

2002-2003 9 317.50 17 797.50 27 115.00 17 587 140341.50 9 528.00

Total 43 587.00 39 452 244513.5 9 528.00

=INR 190560

66

Figure 7—Making rope from Agave fiber.

Figure 9—Making handicraft from Agave fiber.

Figure 10—Various handicraft

articles made from Agave fiber.

Figure 8—Agave fiber and rope ready for sale.
67

CONCLUSIONS

The co-operative society established at Kolchur is an

ideal example of a beneficiary-managed small enterprise

that has managed to not only survive but grow and make

the members stand on their own feet, and ensure sustainable employment to its members based on the sustainable

management of the non-timber forest product Agave americana. This has been made possible by the constant facilitatory approach of the forest corporation that has resulted in

development of skills in the local communities and has

developed confidence amongst them to not only manage 

a small processing unit but also bring in further value addition to the primary product for their own economic development.

ACKNOWLEDGMENTS 

The authors would like to thank the ex-President, Shri

Laxman S/o Mosu and the present President of the committee, Shri Jalander S/o Bhorka of Bharni village, who painstakingly gave details of the development of this co-operative society and the efforts they had to make to get the

society to its present status. We are also indebted to Shri

Anoop Kumar Bagchi, the local Forester and present facilitator of the committee, who took over the society in 1997

and has been responsible for the facilitation and motivation

of the local beneficiaries and has supplied us with most of

the data. We are also thankful to all other members of the

society who supplied us with valuable information. 

Figure 11—Sisal rug made from Agave fiber.
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1 Thekkepulikkootil, Nechipuzhoor, P.O., Arunapuram – 686754, Kerala state, India.

Proceedings from IUFRO Division 5, Research Groups 5.11 and 5.12, number 10

GUM TAPPING IN STERCULIA URENS ROXB. 

(STERCULIACEAE) USING ETHEPHON

M.N.B. Nair1

INTRODUCTION 

Gum Karaya is the dry exudate of Sterculia urens and

S. villosa. It is collected from S. urceolata and S. foetida

in Indonesia, S. setigera in Africa and from S. caudata in

Australia (Gautami and Bhat 1992). It is also known by 

the name Indian tragacanth, as it resembles gum tragacanth

produced by Astragalus sp. Gum karaya is one of the least

soluble gums used for many industries such as petroleum

and gas, textile, paper and pulp, leather and allied products,

ammunition and explosives, electrical appliances, adhesives,

confectionery, medicine, pharmaceuticals and cosmetics

(Gautami and Bhat 1992). There is high demand of export

of gum karaya from India (1746 Mtin 2002, source TRIFED).

Overall yield has decreased from 6838 metric tons (MT) in

1975–1976 to 461.3 MT in 1990–1991. During this period

the price increased from Rs. 7491 per MT to Rs. 83, 361

ABSTRACT

A dry exudate from Sterculia urens, known as gum karaya, is one of the least soluble gums used for many industries

such as petroleum and gas, textiles, paper and pulp, pharmaceuticals, medicine and several other products. The commercial

tapping of karaya is done by blazing, peeling, or by making deep cuts at the base of the bole using an axe or a sickle. These

methods often lead to the death of the tapped trees. On account of crude tapping methods and over exploitation, the population of karaya trees has markedly declined. In the absence of cultivation of these trees in regular plantation, there is a grave

concern about the loss of wild germplasm of S. urens. As gum karaya is vital for tribal economy and its trade value is substantial, there is a pressing need to develop a scientific and sustainable tapping method to increase the yield and ensure the

survival of the tapped trees. A simple and safe technique of tapping with substantial increase in the yield is developed using

ethephon to enhance gum yield and wound healing. After 45 days a thick wound tissue has developed at the injured region

and nearly replaced the damaged tissue. The wound is completely healed 60 days after tapping. The yield has increased

about 20 to 30 times over the control and about 10 times more than the traditional tapping methods used by the local people. There was a marked difference in the yield among individual trees, presumably due to heterozygosity. The systematic

and scientific tapping technique using ethephon as a stimulating agent for gummosis or gumresinosis could ensure substantial improvement and sustainable production of these materials. The concentration used for treatment is critical for each

species. If it exceeds the optimum amount there will be possibility of die back and death of the plants.

KEY WORDS: Gum Karaya, tapping, Ethephon, Sterculia urens.

69

(Gautami and Bhat 1992). Production increased to 6701

MT in 2002 (source GCC).

Sterculia is native of dry deciduous forests of dry rocky

hills and table lands of tropical climate. This genus has

about 100 species and India has 8 species present in tropical

Himalayas, West and Central India, Deccan Plateau and

throughout Eastern and Western Ghats (Gatami and Bhat

1992). Commercial tapping of gum Karaya is done by

blazing, peeling or by making deep cuts in the base of the

tree trunk with an axe or sickles. These methods are wasteful and injurious to the trees, often leading to their death.

On account of crude tapping method and overexploitation,

the population of karaya trees has markedly declined. In

absence of cultivation of this tree in regular plantations, there

is grave concern about the loss of wild germplasm of S.

urens. The Government of Madhya Pradesh, Rajasthan and

Uttar Pradesh have banned tapping and collection of gum
karaya to allow recovery and regeneration of this tree. As

gum karaya is vital for the tribal economy and its trade

value is substantial, there is a pressing need to develop a

scientific and sustainable tapping method to increase the

yield and to ensure the survival of the tapped trees. Here I

present a simple and safe method for tapping that result in

substantial increase in the yield. 

MATERIAL AND METHODS 

A preliminary observation showed that ethephon

enhances gum formation and wound healing in Sterculia

urens (Nair et.al. 1995). I selected 15 trees in the village of

Ghati near Gwalior Highway No. 3 for experiments to find

out the optimum concentration of ethephon to induce maximum production of gum with minimum injury to the

tapped trees. Using a specially devised knife, holes each of

5 millimeters (mm) diameter and 2–3.5 cm depth (based on

the thickness of the bark) were made on the tree trunk 20

to 30 centimeters (cm) distance at 1 meter (m) above the

ground. The holes were angled towards the base of the tree

to prevent the backflow of the introduced solutions. One

hole in each tree is maintained as the distilled water control

and the rest were treated with ethephon (2-chloroethyl

phosphonic acid). One milliliter (ml) of ethephon containing 190/285/390 milligrams (mg) of active substance (one

ml of distilled water for controls) was dispensed into each

hole. Five trees were used for each concentration. The first

collection of gum produced in the control and treated holes

were made after 15 days. The succeeding 3 collections were

done after every 10 days and the data were pooled (table 1).

It was noticed that the trees treated with 285 mg of

active substance of ethephon have yielded highest amount

of gum and therefore this concentration was used for further experiments. The tapping experiments were repeated at

Ghati in Madhya Pradesh and Cheedipalem in Andhra

Pradesh. Fifteen trees of various sizes and ages were

selected for the study in both the sites. The trees were

tapped in March, May and November 1995 in Ghati using

285 mg of active substance to understand the seasonal variation in the yield. The tapping of trees at Cheedipalem

were done in February and May in 1996. The karaya trees

are tapped by the tribal people with the help of Girijan

Cooperative Corporation in Andhra Pradesh (GCC). The

yields from the traditional tapping method and the method

using ethephon were compared. The tribal people remove

50 to 55 cm length of bark across the trunk with a sickle

and collect the gum as tears or as irregular fragments. The

tapped trees often fail to regenerate after some years. The

trees were tapped throughout the year except in the rainy

season.

RESULTS AND DISCUSSION

The gum produced in the control and treated holes were

shown in the table 1. The ethephon treatment resulted in

the increase of about 40 to 85 times more than the control.

The harvest from the ethephon treated trees was of high

quality gum. Histological examination of the unwounded

trees showed an absence of any special tissue, which produces gum in Sterculia. Tangential bands of gum cavities

were present in the bark of the treated bark. The elongated

cavities are parallel to the longitudinal axis of the stem and

anastomose tangentially Multiseriate rays are observed

amidst the anastomosing cavity system. The gum cavity is

formed lysigenously. 

The gum started oozing out of the holes within 3 to 4

hours and gets hardened when comes in contact with air.

The gum can be hand picked as large lumps. The control

holes were completely dry after 30 days. In many cases the

70

Table 1—Gum yield when treated with distilled water, 190 mg, 285 mg and 390 mg 

active substance

Yield in control 190 mg. 285 mg. 390 mg. 

treated with active substance active substance active substance

distilled water in 1 ml in 1 ml in 1 ml 

No gr gr gr gr

1 0 157 86 35

2 0 84 90 111

3 2 25 40 172

4 2 31 254 37

5 3 20 140 52

Total 7 316 610 406

Average 1.4 63.2/tree 122/tree 81.2/tree
control holes produced negligible amount of gum. It was

found that the damaged tissues of the ethephon treated holes

were nearly replaced with wound tissue after 45 days. The

injury was completely healed after 2 months. 

The result of the tapping done at Ghati Madhya Pradesh,

in March, May and November 1995 is shown in table 2.

The highest amount of gum is produced in May and least

amounts in November. The tapping experiments conducted

in Cheedipalem also shows copious gum production in the

summer months (table 3). The yield of gum when tapped

using ethephon is about 10 times more than the yield when

tapped using traditional method. The injury made by the

traditional tapping is very large (50 to 55 cm long). 

International trade of gum karaya is exclusively indigenous to India and is vital for the tribal economy. It has now

become one of the important sources of income for the

state from the forest as a non-wood forest product (NWFP)

because the commercial extraction of wood from the forest

has become limited. Owing to the lack of scientific tapping

technique and post harvest processing it has become difficult to utilize this product optimally. In the present study,

the gum production was increased substantially as a result

of using ethephon. It also ensures minimum injury to the

trees so that the tree is regenerated easily, thus guaranteeing

sustainable production of this gum. 

In S. urens, lysigenously formed gum ducts are present

in the pith and cortex of the young stem (Shah and Setia

1976) but they are absent in the secondary phloem. The gum

cavities are induced upon ethephon treatment. According to

Abeles (1973) ethylene may cause formation of gum cavities of pocket or cyst in plants. Ethephon is used to stimulate latex flow in para rubber (Hevea brasiliensis), resin

enhancement in pines (Peters et al. 1978), gum production

in Acacia senegal (Bhatt and Mohan-Ram 1990), Anogeissus

latifolia (Bhatt 1987), Azadirachta indica (Nair et al. 1980,

1985). It also increases gumresinosis in Mangifera indica

(Bhatt and Shah 1985) and Commiphora wightii (Bhatt et

al. 1989). Ethephon is a nontoxic, environment-friendly,

inexpensive and easily available plant growth regulator

(PGR) manufactured in India and used extensively in agriculture and horticulture.

The gum exudation in karaya tree is highest in AprilMay, the exudation is about 10 times more than the production in November. Therefore it is suggested that the gum

karaya tapping for commercial purpose be done only during

71

Table 2—Tapping experiments conducted in March, May and November 1995 at Ghatti 

(Madhya Pradesh) showing the yield of gum karaya when treated with ethephon (285 mg 

of active substance)

Girth

of the Number Total yield Total yield Total yield Total yield

Number tree of holes (control) (March) (May 1995) (November) 

cm --------------------------------gr-------------------------------------

1 90 3 0 287 410 45

2 140 5 0 240 408 37

3 190 6 0 426 820 43

4 360 12 0 902 1340 180

5 130 5 9 358 550 28

6 150 5 2 490 670 52

7 270 9 5 683 1180 213

8 230 8 0 649 974 88

9 120 6 2 367 723 50

10 130 6 0 121 503 74

11 130 6 0 334 648 63

12 260 9 4 716 1036 81

13 205 7 6 653 947 90

14 190 6 3 306 828 33

15 215 7 5 568 841 56

Total 100 36 7108 11 878 1133

Average 187.33 6.7 3/tree 473.87/tree 791.87/tree 75.63/tree
March to May and the trees may be given rest in the remaining part of the year. This will ensure the regeneration of the

tapped trees, sustainable supply of this gum and good economic return. This technique is simple, needs no specialized

skills and can be taught to unskilled tribals living in the

forest fringes.

CONCLUSION

The future of natural gum and resin industry is uncertain

and therefore, a thorough economic study of the national

and international trade is necessary. Synthetic products are

preferred by the industry because of the uncertain supply

and cost of natural gums and resins. However, unstable oil

prices, decreased production and high costs of the synthetic

material create a promising future for natural gums and

resins. In spite of the competition from synthetic products,

natural gum and resins are preferred in certain industries as

they are superior.

The tapping methods used are brutal and injurious to the

plants, often leading to their death. The technology available is old and the innovations are essential for sustainable

yield and quality control. A concerted effort by researchers

and agencies such as research institutions, Universities and

non-governmental agencies is urgently needed to improve

all aspects of the industry such as tapping, collection, processing, grading, classification and marketing. Research

and development are completely lacking in the area of utilization of natural gums and resins. The industry completely

depends on traditional and certain ad hoc investigations by

individuals. Research into genetic improvement and selection of species for production of gums and resins should be

initiated which may lead to establishment of plantations of

these species. Gum and resin industry can provide employment and a steady additional income to rural people and

thereby stop their migration into the towns and cities.

ACKNOWLEDGMENTS

I thank the Ministry of Environment and Forestry, New

Delhi for financial help and Department of Botany

University of Delhi for providing facility during this study.

The GCC and TRIFED provided the data of production and

export respectively.

72

Table 3—Tapping experiments conducted in February-March and April–May 

1996 at Cheedipalem (Andhra Pradesh) showing the yield of gum karaya 

when treated with Ethephone (285 mg of active substance)

Girth

of the Number Total yield Total yield Total yield

Number tree of holes (Feb.-March) controls (April-May)

cm ------------------------gr------------------------------

1 127 5 390 4.0 670

2 163 6 183 0 0 415

3 110 4 344 5.0 620

4 125 5 396 4.0 681

5 320 11 910 5.5 1362

6 203 7 671 4.0 1164

7 88 3 282 0.0 485

8 92 3 208 0 0 358

9 230 8 553 4.0 1005

10 141 6 489 0 0 841

11 129 5 510 3.0 877

12 238 8 760 5.0 1307

13 146 6 493 3.5 848

14 136 5 461 3.0 792

15 107 4 426 2.0 623

Total 86 7076 43.00 12 048 

Average 157 5.7/tree 472/tree 2.86/tree 803/tree 
LITERATURE CITED

Abeles, F.B. 1973. Ethylene in plant biology. New York: 

Academic Press. 271 p.

Bhatt, J.R. 1987. Gum tapping in Anogeissus latifolia

(Combretaceae) using ethephon. Current Science. 56:

936–940.

Bhatt, J.R.; Mohan-Ram, H.Y. 1990. Ethephon induced 

gum production in Acacia senegal and its potential

value in the semi-arid regions of India. Current Science.

59: 1247-1250.

Bhatt, J.R.; Shah, J.J. 1985. Ethephon (2-chloroethyl 

phosphonic acid) enhanced gumresinosis in mango,

Mangifera indica L. Indian Journal of Experimental

Biology. 23: 330–339. 

Bhatt, J.R.; Nair, M.N.B.; Mohan-Ram, H.Y. 1989. 

Enhancement of oleo-gumresin production in

Commiphora wightii by improved tapping technique.

Current Science. 58: 349–357.

Gautami, S.; Bhat, R.V. 1992. A monograph of gum 

Karaya. Hyderabad, India: National Institute of

Nutrition, ICMR. 

Nair, M.N.B.; Bhatt, J.R.; Shah, J.J. 1985. Induction of 

traumatic gum cavities in sapwood of neem

(Azadirachta indica A.Juss.) by ethephon and paraquat.

Indian Journal of Experimental Biology. 23: 60–62.

Nair, M.N.B.; Patel, K.R.; Shah, J.J.; Pandalai, R.C. 1980. 

Effect of ethephon (2 Chloroethyl phosphonic acid) on

gummosis in the bark of Azadirachta indica. Indian

Journal of Experimental Biology. 18: 500–503.

Nair, M.N.B.; Shivanna, K.R.; Mohan-Ram, H.Y. 1995. 

Ethephon enhances karaya gum yield and wound healing response: A preliminary report. Current Science 69:

809–810.

Peters, W.J.; Roberts, D.R.; Munson, J.W. 1978. Ethrel, 

diquat, paraquat interaction in lightwood formation.

Proceedings of the Lightwood Research Coordination

Council Annual Meeting, Atlanta, Georgia. 31–39.

Shah, J.J.; Setia, R.C. 1976. Histological and histochemical 

changes during the development of gum canals in

Sterculia urens. Phytomorphology. 26: 151–158.

73
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1 Programme Officer, Vasundhara, 14-E, Gajapatinagar, Bhubaneswar-5, Orissa, India.

Proceedings from IUFRO Division 5, Research Groups 5.11 and 5.12, number 11

THE ENDANGERED BARK

Bikash Rath1

INTRODUCTION

A number of plant species have been threatened by nonscientific exploitation of their bark. The present article is

concerned with some of these species belonging to the

Lauraceae family, viz. Persea macrantha (Syn. Machilus

macrantha), Litsea glutinosa (Syn. Litsea sebifera, Litsea

chinensis), and Litsea monopetala (Syn. Litsea polyantha).

These three are evergreen trees sometimes reaching a

height of 20 meters (m) or more. Their utility has evolved

during the last four to five decades from a useful source of

ABSTRACT

Indian-made agarbattis, also known as incense sticks, have been one of the major products of Indian identity throughout

the world. This appeared to be a flourishing industry until a few years ago when it was discovered that the supply of raw

materials was decreasing rapidly. The agarbattis are manufactured using non-timber forest products like Sal resin, Guggul

(gum resin of Commiphora mukul), bamboo sticks, and several other products. 

Among the raw materials, the supply of the binding material has concerned agarbatti manufacturers mostly because 

the criteria for selecting this binding material, the glutinous bark of Persea macrantha, are rarely encountered for any other

single item. Hence, this bark (called jigat in powder form) was the most preferred binder. However, overexploitation caused

the rapid depletion of this resource and thus, other alternatives were sought. The bark of Litsea glutinosa and Litsea monopetala emerged as the most preferred substitutes. The final result was the extensive debarking of these Litsea species.

Although not recognised by IUCN, all these three species are now facing grave danger of extinction in many parts of

India (e.g., Orissa). Much work needs to be done at various levels to ensure the conservation of these valuable species. A

step in this direction is the development of a bio-polymer, which is supposed to successfully replace the product from the

glutinous bark of the above species.

Scientific data on some of these species needs to be revised and updated. For example, Pojo (clearly identified as L.

monopetala, but also suggested as Litsea glutinosa) is found as three different types according to the primary collectors

whereas reference books do not identify all these varieties. A local scholar indicates that Pojo may belong to an altogether

different genus i.e., Phoebe (Lauraceae). Also, the current status of Persea macrantha, declared ‘rare’ in Orissa 75 years

ago, has yet to be updated.

KEY WORDS: agarbatti, Persea macrantha, Litsea glutinosa.

75

medicinal ingredient to one of the most important sources

of income-generating non-timber forest products (NTFPs)

for both the primary and wholesale suppliers. This metamorphosis is a result of the rapid growth of the agarbatti

(incense sticks) industry which consumes almost the whole

production of the bark of these three species. This industry

is valued around Rupees 1000 crores with an annual growth

rate of 10–15% and provides employment to around 1.5

million people, mostly to women who are engaged in the

delicate job of agarbatti rolling.
MATERIALS AND METHODS

This paper has been prepared on the basis of inferences

gathered by field visits, secondary references, and personal

communication with scientists and the concerned stakeholders.

RESULTS AND DISCUSSIONS

Ecology of the Concerned Species

All these three species are shade-bearers and are often

found occurring near streams or in moist locations. In

Orissa, these (specifically the Litsea spp.) are found both 

in Sal and miscellaneous forests2. Their distribution is sporadic for the most part3, although the growth of purported

root suckers4 may contribute to the population density 

significantly in certain localities.

The Significance of Jigat in Agarbatti Making

Jigat is a vernacular word meaning “sticky” that is used

in the Karnataka state of India. Karnataka’s capital city

Bangalore has been the center of agarbatti industry for

many decades. The bark of Persea macrantha and Litsea

glutinosa/monopetala is more or less strongly mucilaginous

in nature and while fresh, tends to arrest the palm when

pressed by the hand. In dry condition, the sticky nature

apparently disappears; but when some water is added to the

bark powder, the binding power re-manifests itself. This is

why the powder is known as “jigat” in the industry.

An agarbatti is ideally meant for religious purposes and

is supposed to be purely an herbal product. There are four

basic components of agarbatti: aromatic ingredients (like

Sal5 resin, etc.), ignition support (charcoal powder), holding support (bamboo stick), and binding material (jigat).

The best and most suitable binding material is that

which has the following properties:

• Does not act as a fire-retardant.

• Does not act as a highly inflammable material.

• Does not affect/damage the aroma or natural 

fragrance of the ingredients.

• Strongly binds the mixture of charcoal & aromatic

ingredients (hereinafter called the CA mixture) to the

bamboo stick.

• Is cost effective.

The bark of Persea macrantha fulfills all these parameters. A substitute to that, but of comparatively lower grade,

is the bark of Litsea glutinosa/monopetala.

However, the use of some other substitutes (like the

Indian Gum Arabic produced from trees like Acacia nilotica)

is also in vogue particularly in cases where quality control

is not mandated. As such, use of even boiled rice as an

adhesive has been reported from the producers of very

inferior grade agarbattis.

Varieties of Jigat Traded in India 

More than three varieties of jigat bark are distinguished

in trade in India and these are often named after their

76

2 Misc. forests are usually distinguished from pure patches of Sal forests or Teak forests due to the abundance of a number of other species.

3 The sporadic occurrence of both these species of Litsea in Orissa was reported even during the early decades of 20th century when commercial extraction

of their bark was yet to begin.

4 When shown a photograph of what appeared to be the root suckers of Pojo, noted taxonomist of Orissa Dr. Bhawani Chowdhury suggested that it could

be something else (coppice shoots) and not necessarily root suckers.

5 Shorea robusta.

Synthetic Substitutes: Uncertain Future

Not long ago, the National Research Development

Corporation of Government of India claimed that it possessed the know-how of producing an agro-based biopolymer (developed by the Forest Research Institute), which

could very well act as a substitute of jigat. “Laboratory

trials indicate that the new binder is better than jigat.

Samples were sent to leading agarbathi manufacturers 

for their assessment trials and overwhelming reports are

pouring in that it is very much suitable for agarbathi making,” said the NRDC web page (NRDC 2003).

However, confusion regarding the validity of this

claim prevails with a statement issued by the user-side

that “The Forest Research Institute, Dehradun is trying to

identify alternate binding materials, but these are not as

effective in binding as jigat”(Aroma-India 2003).

An agarbatti manufacturer of Orissa told this author

that he once tried a paste-like adhesive (not known if it

was the same one developed by the Forest Research

Institute) which performed well, but he discontinued its

use simply because it raised the production cost by 15%.

This man was capable of ensuring his requirement of natural binding materials from local and outside sources without much difficulty and hence, could afford rejecting a

good substitute on the grounds of a slight increase in the

cost of production. However, people like him may be

forced to accept such substitutes when the situation of

short supply in jigat turns extremely critical. 
place/state of production (for example, the Chhindwara

variety). This distinction is basically qualitative and more

or less indicates the binding capacity. The less quantity

required the better. For example, 1 (kilogram) kg of good

quality material is supposed to have a capacity of binding 

6 kg of CA mixture on average; whereas the low grade

material has the capacity of binding only 3 kg of the same. 

The common trade name of this bark is Maida lakri 

or Meda chhali6. In Orissa, this is known as Medha- or

Mashani chhali.

Demand, Production and Utilization of Jigat

Large varieties of joss sticks7 are manufactured in India

and it is said that almost every manufacturer has his own

formulation. With a change in formulation, the quantity of

jigat to be used may also vary. However, on an average, it

constitutes roughly 17% of the agarbatti unless the latter is

of a very special type. 

The bark may take 5 to 6 days for sun-drying in summer,

which reduces its weight by 50 to 60%. The time taken for

drying depends on the thickness of the bark, weather conditions, and amount of exposure to the sun. Usually, the primary collectors bring the bark to the agents of the wholesaler

either without drying or in semi-dried condition. Probably

the best drying procedure adopted by the primary collectors

is in the Shimilipal Bio-sphere Reserve of Orissa (India)

where they reportedly spread the large strips of bark on large

granitic outcrops and while the upper surface of the strips is

exposed to direct sunlight, the lower surface is dried up by

the heat produced from the hot, rocky surface. This facilitates

proper drying in a shorter period of time.

In Orissa, the average production of this bark between

1992–93 and 1997–98 was approximately 6908 quintals (as

per official reports) when the government allowed leases of

the same to the private parties. However, the production figures, which are primarily furnished by the lessee, are often

underreported so as to evade royalty and hence, the actual

production is supposed to be 30 to 50% higher.

Official data further show that there was a declining

trend in the output of jigat bark in Orissa during the periods

1995-96 to 1997-98 with the average production of first

four years being reduced from 9337 quintals to 2050 quintals in the next two years. However, reliable sources8 confirm that even after the ban was imposed, the annual

production was still around 5000 quintals through illegal

means.

The dried bark is pulverized to yield the jigat powder.

Saw-dust is reportedly added by a number of suppliers as

an adulterant so as to keep the price of the powder almost

same as that of the bark.

Given the fact that the average annual production of

agarbatti in Orissa is around 200 tons, the annual demand

of the glutinous bark in the state seems to be more than 35

tons which suggests that most of the state’s production of

these barks is supplied to other states. In fact, agarbattimanufacturers of Orissa often purchase this raw material

not directly from the primary collectors or the lease-holders

but from the big traders of Bangalore (Karnataka) or Kolkata

(West Bengal) and others who receive the supplies from

the lease-holders in various states. Hence, the primary

collectors usually have no link with the end users. Various

factors seem to be responsible for this. For instance, the

quality and quantity is assured on the part of the big traders

on the outside whereas the primary collector is not able to

do that (i.e., ensure required quantity and quality as per

demand) because of a number of limitations of his own.

Socio-Economic Factors Facilitating 

the Indiscriminate Exploitation

To understand the situation regarding the jigat-producing species, an appraisal of the socio-economic conditions

of the primary collectors is necessary because these people

have been instrumental in causing the rapid decline of

these species.

Popular NTFP of Non-Domestic Consumption

In Orissa, the popular NTFPs important in the livelihood

of the poor people are the Kendu (Diospyros melanoxylon)

leaves, Mahua (Madhuca indica) flower/seeds, Char

(Buchanania lanzan) seeds, Neem (Azadirachta indica)

seeds, and Tamarind (Tamarindus indica). Among these,

some (like Kendu leaves) are not consumed at the domestic

level. The bark of Joisondha (Litsea glutinosa) and Pojo

are among the most popular NTFPs of non-domestic 

consumption because of the following reasons:

1. The window of seasonality for bark collection is

comparatively greater than that of any other NTFP.

2. Bark collection needs comparatively little labour in

primary processing.

77

6 Chhali means bark. 7 It may be mentioned here that incense- or joss sticks are basically used in spiritual centers or places of worship as a symbol of surrender (to the deity, 

for example) or to purify the atmosphere.

8 Traders and former lease-holders like Sawarmal Gadodia.
3. The bark is not a perishable item and if dried 

properly, can be stored for long periods of time 

without any special arrangements. And storage does

not reduce the value/quality of the bark unlike most

NTFPs.

4. Where there were dense populations of such trees,

the primary collectors had the potential to earn 

Rupee (Rs.) 100 (approximately US $2) per day 

per person, whereas the fixed (by the Government of

Orissa) minimum daily wage is Rs. 50. The potential

to earn this much is hardly available in the case of

other NTFPs. 

This is why the ban on the extraction of this bark has

not been so successful in stopping the illegal exploitation.

Incompatible Trends of Growth 

in the Prices of Jigat Bark

An assessment made by this author based on information received from both the primary collectors as well as

the traders suggest that the increase in the wholesale price

of glutinous bark was not compatible with the procurement

price (which meant exploitation of or underpayment to the

primary collectors) for some years. Thus, while the average

wholesale price (per kg) increased from Rs. 5 in 1989 to

Rs. 15 in 1995–96, the state-wide corresponding increase in

the procurement price (on average) was from Rs. 2 in 1989

to Rs.4.50 in 1995–96. Again, the procurement price was

not uniform throughout the state. Traders took advantage of

primary collectors in areas where collectors were not aware

of the commercial value of this bark and offered as little

as 10 to 25% of the standard market prices to the primary

collectors. If the bark still retained its popularity as a major

source (NTFP) of income for the primary collectors, then

this was simply because of their miserable financial condition and lack of better options. In fact, many collectors often

brought the material to traders in un-dried or semi-dried

condition because, the collectors being extremely poor,

they wanted to cash in their collection immediately even

though this meant the product lost value. This helped the

procurer exploit them further because he (procurer) took

this opportunity for bargaining for a much lower price9. 

System and the Agency of Exploitation of Medha Bark

In the past, the Forest Department leased out the glutinous Medha bark to private parties who had local agents in

different places. These agents had direct contact with the

primary collectors who disposed of their collection to the

agents. The primary collectors often worked in groups. A

group of two or more persons handled a single mature tree.

The collective work ranged from cutting down the tree to

debarking it from top to bottom. The entire job usually

took one day for completion. A full-grown tree may have

yielded up to 2 quintals of raw bark.

Sometimes even the thicker roots are not spared and the

root bark is also taken. Such indiscriminate and unscientifically-based exploitation has caused the virtual extinction of

the species in many areas.

Current Status of Jigat Producing Trees in Orissa/India

The status of Persea macrantha was highlighted

through the concern expressed by the agarbatti manufacturers of India who face acute problems of aquiring this

bark. Reproduced below is the extract from a report published in a leading English daily The Times of India (July

19, 2000):

78

9 Both government and non-government organisations have facilitated collectivization of trade by the primary collectors in nontimber forest produce so

as to ensure a better price for their produce besides other benefits. This attempt has been successful in the trade of few NTFPs like Hill brooms (Thysanolaena

maxima). However, it remains only as a dream so far the glutinous bark is concerned. A provision in the lease agreement paper signed in 1999 clearly

states that the primary collectors of Medha bark would have to form ‘societies’ of their own and that, the lessee would procure the bark only from such

societies (and not directly from the forests through his own staff); but this was not to be followed in practice since the lessee would never be comfortable

with such a provision. Thus, the primary collectors are still an unorganized lot the advantage of which is taken by the middlemen/traders.

Therapeutic Applications

Consumption of jigat for medicinal purpose at domestic level is occasional, rare and negligible. The bark-paste

of Litsea glutinosa and/or L. monopetala is applied on

bruises, contusions and fractured limbs and is also consumed in diarrhoea. On the other hand, bark of Persea

macrantha is used in asthma and rheumatism.

There was a time the bark of Litsea glutinosa was 

recognized as ‘one of the best known and most popular 

of native drugs’ (Kirtikar and Basu 1981), but such popularity is hardly noticed now. Although the rural and tribal

people sill utilize the medicinal properties of these barks,

popularity of and access to modern health care system 

has reduced such utilization to its minimum.

Not only the bark, but also other parts of these species

have been useful in various treatments. In fact, the ‘Litseas’

were more popular for their medicinal contributions than

for their timber. Thus, these medicinal properties were

documented in detail in the old texts of Ayurveda and Unani

medicine. Recently, scientific research has established the

anti-bacterial properties of the bark of L. glutinosa.
“Though Indian incense sticks are all the rage 

abroad, according to the Federation of Indian Export

Organisations (FIEO), “there is an urgent need to

encourage the cultivation of the Persea Macarantha10

tree whose bark yields jigat, a binding agent used in 

the manufacture of agarbatti.” 

Incense stick manufacturers are facing a serious 

problem of raw material shortage. While the supply 

of jigat is turning increasingly problematic, producers

admit that a search for a synthetic substitute is

inevitable. Even if large-scale planting of the

Macarantha tree is undertaken, they explain, it 

would be years before the yield comes in.”

This demonstrates the acute problem of jigat bark scarcity.

And no doubt, this is primarily due to unavailability of sufficient number of mature trees of the species. Of course,

“unavailability” is a relative term as with the number of

trees constant, stupendous increase in the demand may

conclude that the necessary supply/resource is unavailable

or scarcely available. But reports suggest that the demand

for jigat was never followed by a proportionate rise in the

number of mature Persea macrantha trees. Rather, the

existing population was so badly affected that state governments had to impose restrictions on the bark collection.

The case of Litsea glutinosa and L. monopetala in

Orissa was similar to the above case. Primary collectors of

Shimilipal Bio-sphere Reserve claim that approximately

75% of the population of Pojo (evidently, Kala Pojo) has

been lost due to the indiscriminate exploitation of the

species11. 

Persea macrantha was declared “rare” in the province

of Bihar and Orissa more than 75 years ago. At that time,

the tree was not located in most parts of the present day

Orissa and was sighted only in one location there. Subsequently, the species was spotted at another location

(Rustuguda valley of Kashipur, presently in the Rayagada

district) in 1930s. But after that sighting there was no more

departmental information on the status of this species in the

state. It was only when this author talked to one of the

retired officials of the Forest Department that the latest data

became available. Some 20 years back, the forest officer

Mr. B.K. Kanungo (now retired) discovered this plant (P.

macrantha) in the forests of Harisankar area, western Orissa.

This observation was made by accident12 and not during 

a planned survey for Persea macrantha. This was Mr. B.K.

Kanungo’s first and (to date) last direct acquaintance with

the species in the state and, as an expert on the forest botany

of Orissa, he also believes that the tree is very rare in this

location. However, there is no present evidence as to

whether or not the species still survives despite the rapid

degradation in forest density.

Unrecognized Threat Status

Persea macrantha was not considered a threatened

species in India even when the species became vulnerable.

The report compiled by the Botanical Survey of India on

the basis of the proceedings of a seminar on the threatened

plants of India held at Dehradun in 1981 did not suggest its

vulnerability. And the web page of the World Conservation

Monitoring Centre/IUCN also failed to notice its vulnerable status simply because it did not refer to up-to-date literature in many cases. However, recent studies revealed the

status of this species in some of the southern states of India,

where it was once plentifully available compared to its 

current status as:

State Threat status

Tamilnadu Critically endangered 

Karnataka Endangered

Kerala Vulnerable

(Source: Medplan Conservatory Society 1999)

Rapid depletion of resources like Persea macrantha and

Litsea glutinosa facilitated research by government institutions to develop a suitable, synthetic substitute that would

reduce exploitive pressure on these trees, but it is ironic

that their threat status has yet to be properly determined

and officially recognized.

Lacuna in Departmental Approach and Policy

Preparation of an updated appraisal of the threatened

flora and fauna at regular intervals has not been possible

for the Forest Department in Orissa mostly due to want

of resources (finance and manpower) as a result of which

the Department has not been in a position to suggest adequate policy changes pertaining to the individual species

of concern. While lease agreements mention that the DFOs

would assess the status and ensure the sustainability of

trees producing jigat bark, no such appraisal report is

79

10 Macrantha 11 As a result, they have now to move to far distant places in search of these trees since the local resources have been already finished up. For them, 

a day’s labour for Pojo bark collection means working for 12 hours or more because a lot of time is spent in traveling (by foot). 12 Personal communication. September 10, 2002.
known to be incorporated into the Working Plans13. Instead,

the Working Plans usually tend to ignore these trees as

NTFP species.

In the new NTFP policy adopted since March 2000,

commercial exploitation of all tree bark by private parties has been banned. However, the DFOs14 are empowered to exploit this banned bark on behalf of government

agencies, if they can ensure a sustainable production,

which means that scope for its exploitation still exists

despite its critical population status.

Recent Findings

There is no confusion regarding the botanical identity 

of Joisondha (Litsea glutinosa), but as far its counterpart

Pojo is concerned, there seems to be a need for some fresh

research regarding the botanical re-identification of this

species. Although one species—Litsea monopetala—has

long been identified as Pojo, the primary collectors belonging to the Hill Khadia community (primitive tribals

who have experts knowledge of local flora and fauna) of

Shimilipal Biosphere Reserve (Orissa, India) have distinguished, as discovered by this author, at least three different varieties of Pojo based on bark quality, as follows:

Local Popular Grade

name name of bark Other characters

Reshunia 

(female) Kala Pojo I Originally cream – 

coloured inside, the 

bark turns black soon 

after its exposure & 

hence the name.

Reshunia 

(male) Lal Pojo II Bark more or less 

of fleshy red colour. 

Doesn’t turn black on 

exposure to the extent

shown by the Kala 

Pojo.

Athla Balia Pojo III Resembles the Gr. II 

variety, but causes 

itching sensation in 

the body. The barkpaste feels like having

sand grains in it & 

hence the name (Balia

means sandy).

Among these three varieties, the bark of the first type

(Kala Pojo) is the most preferred as it is supposed to be

qualitatively better than the other varieties, whereas that 

of Lal Pojo is accepted only as a poor grade substitute to

the former when the first type is not available or scarcely

available. However, the third type is generally not accepted

as it is supposed to be useless due to its ‘sandy’ feeling.

All three of these varieties are claimed to be glutinous in

nature15.

Needless to say, the excessive exploitation that continued

in the name of Pojo bark collecting has mostly affected the

first variety—the Kala Pojo. Populations of the so-called

Lal Pojo have been comparatively less affected, and populations of Balia Pojo are almost out of danger.

So while declaring Kala Pojo an endangered species,

we face the difficulty of ascertaining its botanical identity.

No reference book on the flora of Orissa tells us exactly

which species is Kala Pojo and which one is the Lal Pojo.

To follow Kirtikar and Basu (1981), only Litsea monopetala

can be inferred as Kala Pojo since the blaze of this plant is

said to darken on exposure unlike that of Litsea glutinosa

which assumes a dirty brown color under a similar condition.

But such an inference is contradicted by the findings 

of a recent study by the local scholar Ravindra Kumar

Mishra16. Mishra, while working on a project sponsored by

the Ministry of Environment and Forests (Government of

India), conducted ecological research in the Shimilipal

region and along with other plant specimens, he collected

the specimen of Kala- and Lal Pojo without having any idea

about their significance or commercial importance. These

specimens have now been identified as Phoebe lanceolata

80

13 The document in which timber-cutting operations as well as the exploitation of other forest products (if any) are scientifically planned by the forest 

officers.

14 Divisional Forest Officers 15 The author had examined two different samples of Lal Pojo one of which appeared glutinous while the other one just felt woody without showing any

remarkable glutinosity. It is yet to be confirmed if there exist two or more varieties of what is known as Lal Pojo and also, whether Litsea glutinosa is one

of them.

16 Attached to the Botany Department of Utkal University, Bhubaneswar(Orissa).
and Phoebe wightii, respectively, for Kala- and Lal Pojo17.

When I informed the local scholar Mishra that Pojo had

been identified as Litsea monopetala, he, being surprised,

rechecked his notes and reaffirmed the earlier conclusion

that his specimens did in fact belong to the genus Phoebe.

Also, the specimen of leaves that I collected from a socalled Kala Pojo tree did not show some of the characteristics of the leaves of Litsea monopetala (for example,

the lower surface was devoid of any marked pubescence). However, due to financial and other constraints,

the present author failed to pursue further research in this

regard.

CONCLUSION

Information received from the field as well as secondary

sources certainly suggest that Litsea glutinosa and Litsea

monopetala (if it is the Kala Pojo) have already been

endangered in the state and most likely, are critically

endangered in some localities18. Although the multiplication power of Pojo is remarkable19, the rate of exploitation

is exceeding the rate of multiplication, and therefore the

survival of Pojo populations are under threat.

Keeping this in mind, I recommend that:

• The lacuna in the botanical information on Pojo

should be eliminated.

• The status of Pojo and Joisondha as threatened should

be properly determined.

• Scientifically-based debarking must be ensured by all

possible means.

• Regeneration behaviors of Pojo and Joisondha must

be studied and the controversy regarding the supposed Pojo “root suckers” must be solved.

• Plantation activities for these species must be taken

up because wild regeneration alone can not compensate the loss in their population under the present circumstances and also because increasing demand for

their bark can not be met with from the wild collections (if sustainable extraction is to be ensured). 

ACKNOWLEDGMENTS

The author is thankful to Sri B.K.Kanungo, Sri Ravindra

Kumar Mishra, Dr. Bhawani Chowdhury, Sri Ghana Mahanto,

Sri Baneswar Dehuri, Sri Nalinder Dehuri, Sri Nanda Dulal

Pyne, Sri Sawarmal Gadodia, Sri Vinay Kumar Jha, Sri

Nathumal, Sri Govind Agrawal, Sri P.C.H. Patro, the

Botanical Survey of India (Howrah) and the villagers of

Rustuguda for their contribution in this study.

LITERATURE CITED

Aroma-India.com. 2003. www.aroma-india.com/ 

special.htm.

Kirtikar, K.; Basu, B. 1981. Indian medicinal plants 

(revised and rewritten by Blatter, Caius, and Mhaskar).

Vol. III. 2156–2161. 

NRDC (National Research Development Corporation). 

2003. www.nrdcindia.com/pages/jigat.htm.

Shankar, D.; Ved, D.K. 2003. A balanced perspective for 

management of Indian medicinal plants. The Indian

Forester. February. p. 283.

The Medplan Conservatory Society. 1999. Amruth. 

December. 

81

17 Personal communication May 5, 2001. 18 This apprehension is supported by the fact that in the neighbouring state of Andhra Pradesh, L. glutinosa has been found to be ‘critically endangered’

as per the latest survey (Shankar and Ved, 2003: 283). 19 In fact, this phenomenon was used by the lease holders to counteract the allegation that their operations caused great harm to these resources; for, they

said that by their exploitation the trees multiplied themselves manifold through the manifestation of new shoots (which appeared as ‘root suckers’) which,

in turn, ensured them a steady supply of the bark since these shoots assumed the minimum exploitable size within three years on an average.
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1 Director, Forest Products Division, U.N.F.A.O. Forestry Department, Wood and Non-Wood Products Utilization Branch, Viale delle Terme di Caracalla,

00100 Rome, Italy.

2 Forestry Officer, U.N.F.A.O., Wood and Non-Wood Products Utilization Branch.

Proceedings from IUFRO Division 5, Research Groups 5.11 and 5.12, number 12

DEVELOPING INVENTORY METHODOLOGIES FOR 

NON-WOOD FOREST PRODUCTS: LESSONS LEARNED FROM 

AN ANALYSIS OF CASE STUDIES IN AFRICAN COUNTRIES

Wulf Killmann1, Francois Ndeckere2, Paul Vantomme2 and Sven Walter2

INTRODUCTION

Rural people in Africa are heavily dependent on nonwood forest products (NWFP) for a wide range of needs

including food, medicines and construction materials. Most

of these NWFP are for subsistence, and several are important sources of income and employment at the local level,

with some being traded even at the international level. 

In order to determine the sustainable harvesting level 

of a given NWFP, be it for subsistence or commercial utilization, accurate information is needed on the growth and

regenerative capacity of the resource providing the given

product. Although there is often considerable indigenous

knowledge for specific NWFP, there is a lack of documented or scientific information suitable for the determination of sustainable yields readily available to forest users.

ABSTRACT

Appropriate and biometrically valid inventories of non-wood forest resources are an essential prerequisite for their 

sustainable management and harvesting. However, methodologies for the precise assessment of forest resources yielding 

non-wood forest products (NWFP) are not yet sufficiently elaborated, neither can they be easily implemented by resource

managers in the field. Under a joint European Commission—FAO partnership programme supporting sustainable forest

management in African countries, inventory methodologies and experiences for assessing non wood forest resources were

reviewed and analysed through 2 sub-regional expert consultation meetings covering dry to humid forest ecosystems. In 

these workshops, specific NWFP life forms (such as fruits, bark, lianas, leaves, roots) were identified for the elaboration 

and field testing of inventory protocols. They include assessment methodologies for: bark (johimbe, Pausinystalia johimbe

in Cameroon); wild mushrooms (various species in Malawi); quinquéliba leaves (Combretum micranthum in Benin); baobab

fruits (Adansonia digitata in Kenya); and leaves of the liana Gnetum buchholzianum in Central African Republic. For each

NWFP life form, a specific inventory protocol was designed and tested. The results of the field work were analysed and

improved inventory protocols were formulated for each selected NWFP. The results of these field studies and the improved

inventory methodologies for the selected NWFP will be published as a practical field manual of generic NWFP assessment

guidelines for use by resource managers.

KEY WORDS: Inventory, methodology, non-wood forest products, Africa.

83

Practical methodologies for assessing NWFP resources and

for monitoring the impact of their harvesting are not widely

available.

This paper summarizes work done under the EU-FAO

Partnership Programme GCP/RAF/354/EC dealing with the

component-Development of techniques for NWFP resource

assessment in African ACP countries and covers the period

2000–2003.

MATERIALS AND METHODS

Within the framework of the above project, 2 consultation workshops were held with African forest inventory

experts: one for Anglophone countries (15–17 October

2001, Lusaka–Zambia); and one for Francophone countries

(12–15 February 2002, Yaoundé–Cameroon). The objectives of these consultations were: 
Site selection—In the Atacora Department, parallel with

the road from Tanguieta to Batia.

Sampling design and methodology—The systematic sampling method was used in this study. Five transect lines at 5

km distance of each other and perpendicular to the road

Tanguiéta–Batia (Département de l’Atacora) were subdivided in 44 sub-transects (of 0.5 to 5 km long and 100 to

150 m wide). These transects were done in those areas suspected to have C. micranthum trees. At random, plots were

selected along these transects for habitat description of C.

micranthum.

In a total of 26 plots (of 20 m2 up to 25 000 m2) an

exhaustive inventory of all species and tree measurements

of all C. micranthum was done. Leaves were counted on

randomly selected branches and their dry weight measured.

Data analysis and results—The inventory revealed the

existence of different vegetation groups of C. micranthum

and assessed their population dynamics; and estimated the

potential leave production capacity of each vegetation

group and for C. micranthum trees of different sizes and

shapes.

Recommendations and conclusions—The pilot inventory

revealed the many different habitats and vegetation groups

with C. micranthum. It further showed that a systematic

sampling design is less appropriate in view of the sporadic,

but very gregarious, distribution of C. micranthum trees.

The sampling design must therefore be adjusted to install

sample plots along those transects where the species actually

occurs, and to adjust the size of the sampling plot (from 

20 m2 to 25 000 m2 rectangular or square) as to take into

account the wide variety of different vegetation groups with

increasing levels of gregarious occurrence of C. micranthum.

2. Testing techniques for quantification of Pausinystalia

johimbe bark in the Lokoundje-Nyong Forest in

Cameroon.

Objective—To develop and test appropriate quantification

techniques for the bark production from trunk and branches

of Johimbé (P. johimbe) trees.

Site selection—The Lokoundje-Nyong Forest concession

(with a forested area of 129 188 ha). 

Sampling design and methodology—Data from a previous forest inventory (ONADEF inventory of 1995 using a

systematic sampling design at 0.5% level) served as a basis

to assess the population of P. johimbe trees. Updating data

on P. johimbe was done through a systematic sampling

along transect lines at 4 km distance and containing 0.5 ha

84

• Disseminate and discuss available information on

NWFP assessment methodologies (Wong et al. 2001); 

• Elaborate a list of key NWFP from various African

eco-regions and for which specific inventory methods

are most needed;

• Identify partners in African countries and select with

them key NWFP for the development and field testing of inventory protocols for the selected product.

Six case studies were implemented. For each, a draft

inventory protocol was designed and tested in the field.

The results are used for the preparation of a field manual

on the NWFP inventory guidelines. The case studies, with

their respective product(s), country of implementation and

main author are:

1. Inventory of populations and quantification of the

production of quinquéliba leaves (Combretum

micranthum) in North Benin (Nestor Sokpon).

2. Testing techniques for the quantification of

Pausinystalia johimbe bark in the Lokoundje-Nyong

Forest in Cameroon (Belinga Salomon-Janvier).

3. Testing of techniques for assessment of wild fruit

yields: Case of Baobab (Adansonia digitata) in Dry

land forest of Kenya (Chikamai Ben). 

4. Utilization of local knowledge to assess harvesting

yield of wild mushrooms in Malawi (Meke Gerald).

5. Using Adaptative Cluster Sampling method (ACS)

for the quantification of leaves of the liana species

(Gnetum buchholzianum) in the Ngotto dense humid

forest in the south west of the Central African

Republic (Bonannee Michel).

6. Testing inventory technique approaches–comparison

of inventory of single species to multiple-species in

National Forest of Kitwe–Zambia (Fabian M.

Malambo).

Overall technical support to the above authors was provided by Jenny Wong. 

RESULTS

A summary of the key findings of each case study is

given here below:

1. Inventory of populations and quantification of the

production of quinquéliba leaves (C. micranthum) in

dry forests of North Benin.

Objective—Inventory of populations and the quantification

of the production of C. micranthum leaves in dry forests of

North Benin, and which are used by the local people for

making tea.
plots (250 m x 20 m). In each plot, distribution and size

classes of Johimbé trees was measured, and amounts of

bark from trunk and branches of selected trees was quantified in order to establish bark yields against tree size classes

and tree characteristics.

Data analysis and results—The case study revealed only

minor errors regarding the number of Johimbé trees sampled as compared with the numbers from the 1995 inventory

(2.8% error margin). It further showed that there is an

exponential growth of bark yields from trunks with increasing diameter till diameter at breast height (DBH) 60 cm

while bark yields from branches represents only 0.7 % of

total production of bark from the trunk.

Recommendations and conclusions: The study also suggested chemical analysis of johimbe bark in order to determine the johimbine concentration of the bark in function of

different provenances and from different parts from the tree

trunk and/or branches, as to identify and map those provenances with the highest johimbine content and to improve

bark harvesting efficiencies and regulations.

3. Testing techniques to assess fruit yield: the case of

Baobab (Adansonia digitata) from the dry lands of

Kenya.

Objective—To develop a simple and reliable method for

estimating the number of fruits in the canopy of a single

tree; and particularly to test whether randomised branch

sampling is a useful method for estimating fruit yield in

Baobab trees.

Site selection—The sites were distributed in a stretch

measuring about 60 km x 20 km along the NairobiMombassa highway in Kibwezi Division (Makueni

District) and were subjectively selected to ensure that a

range of tree densities and sizes were included to reflect

the structure of the Baobab population. The plots were

located with their centers one metre from a selected fruiting Baobab tree with a radius measured to the middle of

the furthest tree (within 100 m from the center). 

Sampling design and methodology—The sampling design

and field measurements were modifications of methods

used by various researchers with modifications to take into

account the architecture of the baobab tree. Basically, all

the sample trees were assessed for the following variables/

parameters: distance (correcting for the slope) from the

center of the plot, diameter at breast height (1.3 m above

ground level), total height, crown width and depth. In each

plot, one fruiting tree was randomly selected for total fruit

counts.

Data analysis and results—The number of fruits per tree

is extremely variable and probably has a non linear relationship with the standard measures of tree size. The mean

tree size and densities also varied from one site to another.

Effect of some ecological factors of the study sites in terms

of soil characteristics (depth, fertility and moisture), type of

landscape and the total basal area of other (competing) tree

species may have influenced individual tree shape and fruit

yields. Fruit yield can be reasonably well predicted from

tree height and projected crown area. The study suggests

that primary branch sampling was more accurate and precise than secondary branch sampling. The poorer performance of secondary branch sampling is probably a result of

the fact that a smaller proportion of the tree crown is sampled. 

Recommendations and conclusions—Trials indicate that

a simple randomised branch sampling can be used to estimate fruit yield for Baobab (but often still with fairly large

errors). Although sometimes discrepancies may be large,

the time savings are great as Baobab can be a very large

tree with several thousands fruits. The fact that branch

sampling worked at all is encouraging as the Baobab trees

are often very misshapen. Using a selection method based

on branch size or increasing the number of branches sampled may improve on the quality of the estimates and

should be examined in further tests.

4. Using local knowledge as a basis for stratification

of inventory sites: wild mushroom inventory in

Liwonde Forest Reserve, Malawi.

Objective—To develop and test simple data collection

techniques for a seasonal product. The product being wild

edible fungi harvested from forest reserves in Malawi. The

specific purpose was that a combination of a biometric

inventory protocol on sites identified by harvesters would

be able to better represent the mushroom productivity of

the forest than the fixed plots. The intention being that the

results of the field inventory would mirror data collected in

the market place. 

Site selection—Twenty four species of wild edible mushrooms occurring in the rainy season over a period of 3 to 

5 months were studied. The trial was located in Liwonde

Forest Reserve in Machinga District in the Southern Region

of Malawi, and which is managed under total protection as

a water catchment area for Lake Chilwa. Local people are

allowed to harvest NWFP in this reserve for free such as

wild mushrooms, medicinal plants, grass and wild fruits.

Rapid resource assessment, key informant interviews and

resource mapping were used to identify the study site. 

85
Sampling design and methodology—This case study was

composed of three distinct elements: (1) selection of mushroom sites identified by local harvesters; (2) enumeration

of mushroom productivity on selected sites; and (3) market

data collection to verify field data.

The plots used in this study are fixed in location and

relatively close to the road (as is the most likely source for

mushroom harvesting). A random number table was used to

select distance from one plot to the next (along the road).

In each plot, harvested mushroom species were identified

and fresh weighing of the products was done. As for sale

purpose, 11 of the 13 species encountered in the field 

sampling were present at the markets.

Data analysis and results—Comparison of field and market data shows that mushroom species which gave higher

yield in the field survey were also the most abundant in the

market. The field yield gives yield in terms of a unit area

of forest while the market data gives the quantity per seller.

The study has shown that not all mushroom species are

harvested to the same extent. The study showed that there

was only a weak relationship between mushroom species

and sites. 

Recommendations and conclusion—The study found out

that there are several species of mushrooms that are eaten

in the area, and that the sampling methods to be developed

should aim at developing general productivity estimation

methods for all the species collected. Sampling plots should

be located in the areas where villagers collect mushrooms.

Productivity of harvestable yield can be estimated from

the roadside markets. However, for accurate measurement

of harvestable yield, which would in turn give the productivity of the harvesting sites, it is necessary to accompany

collectors into the forest, where data enumerators would

need to record area searched and quantity of different

species collected. Weight should be used for measuring

yield; however, counts can complement weight measurements.

Ten randomly located plots of 2 m x 100 m were able to

capture mushroom production at a site. Since the different

mushroom producing sites were not characterised, plots

can be repeated in blocks to maximise the accuracy of the

yield estimate. However, with more resources, sites need 

to be characterised, and plots be blocked according to site

characteristics. The blocks can be regarded as treatments 

as they represent different growing conditions. Also with

more resources, the season can also be segmented and be

regarded as blocks or treatments. 

5. Using adaptative cluster sampling method (ACS)

for the quantification of liana species (Gnetum

buchholzianum) in the Ngotto Dense humid forest 

in the south west of the Central African Republic.

Objective—Using adaptive cluster sampling method (ACS)

for the quantification of the leaves of a liana species (G.

buchholzianum).

Site selection—Ngotto dense humid forest concession

(Permis d’Aménagement Forestier No. 169, 188.064 ha) 

Sampling design and methodology—Adaptive cluster

sampling method (ACS)—Opening up of 10 transect lines

in those areas where the liana is found (and which were

identified through a Rapid Rural Appraisal in the villages

laying in the forest concession). Mapping of the distribution

areas of the lianas along the transects and with help of GPS.

In a random selected transect in each of the above identified areas, systematic sampling plots (10 m x 10 m) are

set-up every 100 m in which all G. buchholzianum liana

stems are counted, measured, including number/weight of

leaves and length of stems. 

Data analysis and results—The study yielded estimates 

of (green) leave production of G. buchholzianum by forest

type and estimated the total (green) leave production at 

1 150 tonnes for the area of the forest concession in which

the liana is found (87 004 ha).

Recommendations and conclusions—The ACS method

proved to be very useful to present/map the variability in

the distribution and frequency of the liana over a large 

forest area. However this method showed also some constraints such as: the method works well when only a limited

number of species is to be inventoried and of which the

parameters to be measured are simple (numbers, weights),

and for practical reasons when the resource is easy identifiable in the forest (trees, liana). 

6. Comparative assessment of alternative sampling

designs for NWFP in Mwekera National Forest,

Kitwe–Zambia.

Objective—To evaluate the costs and benefits in terms of

data quantity of carrying out multi-species against single

species inventory, and to recommend some protocols in 

the assessment of selected species and products.

Site selection—Local knowledge about the most harvested

products was used to identify six fruit species and two tuber/

corm species at the Mwekera National Protected Forest

Reserve. The dominant vegetation of the area is miombo

86
woodland. The study work was undertaken by the School

of Natural Resources at the Copper Belt University in

Zambia. 

Sampling design and methodology—Two sampling

methodologies were involved in this case study: The first is

the multi species inventory method (MSI) using the systematic cluster sampling based on 2 km x 2 km grid. Six

fruit tree species and two herbaceous plants have been

inventoried using this MSI technique. The second is the

single species inventory method (SSI) on the ground of the

experiences gained from the MSI method. Two species

Uapacca kirkiana (fruit tree) and Satirya siva (herbaceous

plant) were inventoried in 272 plots using respectively

simple random sampling for the first species and stratified

systematic sampling for the second species. 

Data analysis and results—MSI approach is recommendable for groups of species which have similar life forms,

sizes and where populations are isolated rather than clumped.

Trees and herbs cannot be sampled in the same sampling

design because of scale constraints. Cost efficiency difference between systematic and random sampling is little.

Using simple designs to inventory abundant clumped

species can give acceptable precision.

Recommendations and conclusion: The study revealed

that NWFP in Mwekera National Protected Forest Reserve

in Kitwe–Zambia are heavily exploited tree species for

both their fruits and charcoal. Likewise tuber/corm species

are subject to heavy and illegal harvesting, mostly for sale

in urban areas. Forest authorities should address this issue

quickly before these fruit trees/ tuber species are wiped out

of this National Forest Reserve. The study recommends for

these NWFP species inventories on a regular basis so that

they can be incorporated in local joint management plans

that are now being introduced in the area. 

CONCLUSIONS

Although significant advances in research on both the

socio-economics and the biology of NWFP have occurred

in the last decades, methodologies for NWFP assessment at

the national as well as the forest management unit level are

still very rudimentary and yet not widely available in practice. The multitude and variety of NWFP, the multiplicity

of interests and disciplines involved in NWFP assessment,

organizational and financial constraints, and the lack of

nationally, recognised common terminology and units of

measurement, all contribute to make the assessment of

NWFP and of the resources providing them a difficult task.

Development work on fine-tuning appropriate and specific inventory and monitoring methodologies for NWFP is

progressing, but it is still not yet at the level for practical

use and at an economical acceptable cost for resource managers at national or at local levels. It is hoped that through

this work, awareness is raised to increase research on this

topic. 

LITERATURE CITED

Wong, J.; Thornber, K.; Baker, N. 2001. Resource 

assessment of non-wood forest products: experience

and biometric principles. NWFP Series nr. 13. FAO. 

87
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1 Resource Economist, U.S. Department of Agriculture, Forest Service, Pacific Northwest Research Station, P.O. Box 3890, Portland, OR 97208.

Proceedings from IUFRO Division 5, Research Groups 5.11 and 5.12, number 13

THE U.S. NONTIMBER FOREST PRODUCTS 

ASSESSMENT: OVERVIEW AND ISSUES

Susan J. Alexander1

In 1998, members of the Non-Wood Forest Products

subcommittee of the Forest Products Study Group, in the

U.N. North American Forestry Commission, developed an

outline for a document to describe scientific and management knowledge about nontimber forest products (NTFPs)

for Canada, the United States, and Mexico. The U.S. team

developed a wide range of studies and papers on the current state of NTFPs in the United States. The papers were

published in a book (Jones et al. 2002).

Nontimber forest products are important to U.S. society

and to sustainable forest management. Papers in the first

section of Jones et al. (2002) make it clear that gathering

and use traditions of NTFPs are long-standing and common

to most, if not all, American subcultures. Such traditions

cross cultural, class, gender, age, and urban-rural residence

lines. Nontimber resources and uses are as varied as the

people who gather them. The second section deals with

commerce and conservation. Nontimber products constitute

important components of both formal and informal American

trade and conservation systems. Markets and labor structure

are explored and discussed, as are ecological sustainability

issues with respect to increasing demand. In the United

States, NTFPs such as medicinal herbs and edible wild

mushrooms are becoming common on the shelves of drug

and grocery stores. Rapidly rising demand for these products poses the risk that market expansion will outpace the

knowledge needed for socially and ecologically sustainable

management. Requests for commercial access to NTFPs on

both public and private lands have increased exponentially

in the past two decades. Private landowners are also exploring options for using incomes from NTFPs to supplement

or supplant revenues from timber harvests. Commercial

NTFP harvesting does contribute to forest dwellers’ livelihoods, but these activities can only support a low population density. Management to increase profitability can lead

to loss of species diversity and ecosystem simplification.

89

Lower species diversity in temperate systems, however,

may mean economically viable NTFPs may occur at higher

densities. Certification and domestication in agroforestry

systems may be tools that can be used to address issues of

increasing demand. Inventory and monitoring is essential

to sustainable management.

Section 3 focuses on Native American claims. Papers

focus on NTFP tenure issues on federally managed lands

and Indian reserved rights, such as treaties and other government-to-government agreements. Reserved rights are

one vehicle by which informal tenure rights become formalized. Subsistence use in Alaska was formalized by the

1980 Alaska National Interest Land Conservation Act, that

provides for subsistence use for rural residents, both Native

and non-Native on public lands and Native Alaskans on

native lands. The Act established a priority use for subsistence. The land base affected by the Act is significant, as

12% of Alaska is in Native Corporate ownership (due to

the Alaska Native Claims Settlement Act of 1971), 52% is

Federal land, and 33% is State land.

The last two sections of the book focus on policy and

management issues. Ecosystem management increased the

visibility of NTFPs for Federal land managers. In addition,

an Executive Order regarding environmental justice in management has emphasized the need to increase public participation opportunities in decision-making. In the USDA

Forest Service National Forest system, stewardship contracting has resulted in the use of new and existing resource

management contracting tools to attain better stewardship

of public resources. A discussion on customary claims and

legal pluralism points out the myth of legal centralism, in

which actors assume there is one law of the state for all

administrations, by one set of institutions. In actuality, all

people function in a system of legal pluralism, in which

behavior pursuant to more than one legal order occurs.
The focus of this national overview of NTFP policy and

management is on issues linked to sustainable NTFP management, including existing use, trade, and management

patterns; ecological and cultural/spiritual concerns that

increased demands for NTFPs have endangered; and tensions among different claimants to these products, particularly on federally managed lands. The collection of papers

describes the ways in which NTFPs are important in the

United States, including their sociocultural, economic, and

ecological values. The collection also outlines NTFP-related

tenure conflicts, including tensions over who has a voice in

policy and management decisions that affect NTFPs and

their harvesters, buyers, and processors. Several research

and information needs arose from the combined efforts of

all the authors. There are no regularly collected data on

harvest for personal use, commercial sale, or cultural and

traditional use for most NTFPs in the United States. Production and value from private lands is unknown for the

vast majority of NTFPs. This is significant, as private citizens and corporations own 71% of U.S. commercial forests.

Non-government organizations also own land or have easements on more U.S. forestlands. The state policy arena is

complex and not well studied. Access issues and harvest

tenure rights are poorly understood. Inventory and monitoring of most NTFPs is nascent. The internationalization of

environmental protection and trade has significant implications for conservation and marketing.

Emery (2002) states that in the United States, NTFPs

have been gathered and are being gathered from biomes as

variable as the temperate rain forests of the Pacific Northwest, the deserts of the Southwest, the prairie grasslands,

the semi-tropical forests of the Southeast, and the New

England coast. They contribute to the livelihoods of people

from diverse ethnic and racial backgrounds in a variety of

ways, and the social and ecological contexts within which

these uses occur have profound implications for their future.

The potential value of studies that help us to understand 

the issues surrounding NTFPs is great. Policies that fail to

acknowledge the biological and social complexities of NTFP

use run the risk of creating results that are ecologically perverse or socially unjust, or both. Studies of past and present

NTFP use can provide a roadmap to effective and equitable

use for the future.

LITERATURE CITED

Alaska Native Claims Settlement Act [ANSCA] of 1971; 

85 Stat 688; 43 U.S.C. 1601 et seq.

Emery, M.R. 2002. Historical overview of nontimber 

forest product uses in the northeastern United States. In:

Jones, E.T.; McLain, R.T.; Weigand, J., eds. Nontimber

forest products in the United States. Lawrence, KS:

University of Kansas Press. 3–25.

Jones, E.T.; McLain, R.J.; Weigand, J., eds. 2002. 

Nontimber forest products in the United States.

Lawrence, KS: University of Kansas Press. 445 p.

90
1 Nontimber Forest Products Technologist, U.S. Department of Agriculture, Forest Service, Southern Research Station, 1650 Ramble Road, 

Blacksburg, VA 24060.

Proceedings from IUFRO Division 5, Research Groups 5.11 and 5.12, number 14

A STRATEGY FOR NONTIMBER FOREST

PRODUCTS RESEARCH AND TECHNOLOGY TRANSFER 

FOR SOUTHERN UNITED STATES

James L. Chamberlain1

In mid-2001, the Southern Research Station (SRS) and

the Southern Regional Office (R8) of the U.S. Forest Service

worked through a 3-day facilitated discussion to develop a

strategy to guide research and technology transfer on nontimber forest products (NTFPs). In all, more than 14 specialists took part in developing the strategy, representing

the Forest Service Washington and Region 8 Offices, the

National Forests, Research, and State & Private Forestry.

Technical disciplines represented during the process included

ecology, botany, social science, inventory and monitoring,

and marketing and management. The guide establishes

strategic goals and recommended actions to advance the

knowledge concerning the management of forest resources

for NTFPs. It is intended to help direct research efforts of

the Southern Research Station concerning the ecological,

economic, and social sustainability of market and nonmarket NTFPs, as well as the inventory and monitoring of

these products on public and private forestlands. A corresponding purpose is to guide technology transfer efforts in

Region 8, state and private forestry, as well as the national

forest system with SRS scientists. 

The southern region team (SRS and R8) acknowledges

several factors as inspiration for developing the regional

strategy. First and foremost, the recently published

“National Strategy for Special Forest Products,” issued by

the Washington Office (USDA Forest Service 2001), established an action plan to guide the agency in managing the

resources on national forest lands from which special forest

products (SFPs) originate, and to assist state and private

forest managers with the same. The national strategy also

recognized the social, economic, and ecological importance

of the resources that produce SFPs and the need for leadership and collaboration in integrating SFPs into forest management. In addition, the regional team recognized that a

lack of information concerning the ecological, economic

and social aspects of NTFPs that could be provided through

91

research impedes efforts to improve management. Major

issues concerning sustainability and management include

harvesting practices and levels as well as silvicultural standards, guidelines and prescriptions. Further, the regional

efforts were inspired by growing concerns for the social

factors, especially long-term collection rights, a way of life

for many rural folks, and family incomes and traditions. The

need to ensure the availability of nontimber forest resources

for recreational collection also inspired the regional team 

to craft a strategy. 

Although many definitions are used for products that

originate from the forests that are not timber-based, but are

of biological origin, the regional strategy embraces the use

of the term special forest products (SFPs) to provide consistency. These products can be organized into four major

product categories: culinary, wood-based crafts, floral and

decoratives, and medicinal and dietary supplements. Perhaps

the most important of the Southeast’s culinary forest products are ramps (Allium tricoccum), which is widely eaten

as a spring tonic, and often the mainstay of festivals and

fundraisers. Some of the more important wood-based SFPs

include sassafras (Sassafras albidum) stems for walking

sticks, willow (Salix spp.) stems for furniture, and cypress

(Taxodium distichum, T. ascendens) knees used for carvings.

Floral products include crooked wood (Lyonia spp.) gathered from the forests of Florida and used in dried flower

arrangements, grapevine (Vitis spp.) and smokevine

(Aristolochia macrophylla) used to make wreaths and baskets, and galax (Galax urceolata), gathered for the national

and international floral industries. The southern forests are

the source of more than 50 plant species collected for their

medicinal values.

The regional strategy recognizes that increasing levels

of collection of SFPs have triggered concerns about the

long-term social, ecological, and economic sustainability 
of the resources from which these products originate. There

is too little information to accurately assess the current situation and to make informed decisions concerning management of nontimber forest resources. The strategy defines

four strategic goals and associated actions within the framework of ecosystem management to address the ecological,

economic and social aspects affecting SFPs. The goals and

selected actions include:

1. Provide knowledge and information to maintain viable

populations of SFPs

a. Develop the best inventory methods for species or

groups of species

b. Assess ecological impacts of SFP harvesting on the

SFP and associated species

c. Determine sustainable harvest practices and levels

for selected SFPs

2. Provide knowledge and information to ensure the 

economic sustainability of SFP markets

a. Determine the value and volume of the major 

commercial SFPs

b. Define the scope and scale of established and 

emerging markets

c. Determine the economic impacts to local people

and communities

3. Produce and provide information on the different

aspects of human interaction with SFPs and incorporate

an understanding of the human dimension into policy,

planning and management decisions

a. Identify SFP collectors, the SFPs they collect, and

their functional and livelihood uses of these products

b. Examine compliance with existing SFP regulations,

and implications for management strategies and law

enforcement

c. Establish a process of collaborative planning with

collectors, and other agencies and interested publics

4. Promote public understanding of SFP uses, users, 

conservation, and future potential

a. Determine methods to create public understanding 

of SFPs throughout the south

b. Develop education and outreach programs that

target harvesters, land managers, school groups 

and others

Achieving these goals depends on developing a proactive technology transfer program that supports and complements the efforts of State and Private Cooperative Forestry,

the National Forest System, and other public and private

partners. Technology transfer actions include communicating research results in formats that can be easily used with

a wide range of constituents. Developing an interactive

web-based communications system that provides timely

and practical materials is essential. Further, an integrated

technology transfer program is needed that addresses the

needs of all clients and partners, including non-English

speaking publics. Through a concerted and directed effort,

the SRS and Southern Regional Office can advance the

knowledge base through research and improve management of southern forests for nontimber forest products.

LITERATURE CITED

USDA Forest Service. 2001. National strategy for special 

forest products. Washington, DC: U.S. Department of

Agriculture, Forest Service. 8 p.

92
93

1 Adjunct Professor, Science, Technology and Environment Division, Royal Roads University, Victoria, BC, Canada, V9B 5Y.

Proceedings from IUFRO Division 5, Research Groups 5.11 and 5.12, number 15

MANY VOICES, MANY VALUES: COMMUNITY ECONOMIC 

DIVERSIFICATION THROUGH NONTIMBER FOREST PRODUCTS 

IN COASTAL BRITISH COLUMBIA, CANADA

Darcy Mitchell1

INTRODUCTION

Worldwide, the traditional industrial model of resource

extraction has resulted in the depletion of the very resources

upon which these industries depend. Communities that

have relied heavily on conventional resource extraction

must now seek out opportunities for more diversified and

sustainable investment and employment. In many forested

regions, nontimber forest products (NTFP) are becoming

the next resource frontier. The National Research Council

(2002) observes that nontimber forest products are “emerging globally as a tool for the establishment of sustainable

forest communities”. 

In other resource sectors, research has conventionally

trailed resource depletion and has often been poorly integrated with training, investment and employment development, and community capacity building. Policies to support

sustainable utilization of NTFP are often absent or are “add

ons” to timber management regimes.

A North Island NTFP Demonstration Project was therefore initiated by Royal Roads University on Vancouver

Island, British Columbia (BC), to address the requirements

of sustainable utilization and development of local NTFP

resources. Building on work begun in the mid-1990s, this

project demonstrates that support must be given simultaneously to the ecological, economic and social aspects of 

sustainable development of NTFPs. The project also demonstrates the need for an institutional base at the regional, domestic and international levels to accelerate progress toward the

goals of sustainable utilization, and to curb the dissipation of

intellectual and social capital that results from fragmented, shortterm research and development projects.

NONTIMBER FOREST PRODUCTS

DEVELOPMENT IN BRITISH COLUMBIA

The context of NTFP development in British Columbia

is undoubtedly similar to that in many other jurisdictions,

especially those in North America. In British Columbia,

forest lands are managed for multiple uses. This is accomplished by incorporating a range of other forest uses and

values into the management of the land base for timber

production. Society’s concerns for values such as oldgrowth forests, riparian areas, biological diversity, visually

sensitive areas, wildlife, and recreation are accommodated

within a timber management framework. Many researchers,

land managers, Indigenous peoples, stakeholder groups,

and members of the interested public argue that the research,

policy and legislative base, and operational forest management practices are not adequate to achieve sustainable

utilization of the full range of both consumptive and nonconsumptive forest uses. Nowhere is this void more apparent than in the case of NTFPs (also referred to as “non-wood

products” or “botanical forest products”). 

While no definitive data are available, it is believed that

the commercial harvest of NTFPs—primarily wild mushrooms and floral greens—contribute some $280 million in

direct sales annually to the British Columbia economy (Wills

and Lipsey 1999). The B.C. Ministry of Forests (1995)

estimates that more than 200 plant species are harvested

commercially within the province. Within British Columbia,

this harvest is not subject to any legislative or regulatory

regime, outside of parks, although regulation is possible

under the B.C. Forest Practices Code. 

Until very recently, there has been little biological, ecological, economic or social research in British Columbia

with the objective of achieving a better understanding of
NTFPs. Research reports (which only began in the early 

to mid-1990s) are, in most cases, overview documents that

identified issues and questions, and collected the limited

data available on NTFPs in British Columbia. 

With very few exceptions, the values and volumes of

harvest NTFP species are unknown. Almost nothing is

known about harvester populations. There are no standardized inventory methods, or methods for determining sustainable harvest levels. There is little or no information

available on how to enhance NTFP production, or how to

best manage forest lands to achieve optimum production of

both timber and nontimber species. There are no defined

property rights for NTFPs (other than the general property

rights of the Crown, and yet-to-be-defined Aboriginal

rights). 

The NTFP industry is fragmented, highly entrepreneurial (in the sense that individuals enter and exit the market

regularly) and primarily small-scale. The current vacuum 

in policy and management creates few incentives for NTFP

businesses (and especially harvesters) to organize in such a

way as to enable government or researchers to engage in

sustained dialogue with a defined stakeholder group. 

In the absence of adequate information and management

approaches, the NTFP industry has become increasingly

characterized by problems of the “unmanaged commons”:

• conflicts among users,

• concerns of traditional users, particularly Indigenous

peoples, that their interests will be trampled in the

rush to commercialization,

• neglect of economic values of NTFPs relative to timber, and

• low levels of investment in developing and sustaining

a profitable industry (Tedder et al. 2002).

Internationally, considerable attention has been paid to

NTFPs in tropical and sub-tropical areas (for example, the

Non-Wood Program of the Food and Agriculture Organization of the United Nations). Comparatively little attention

has been paid to these resources in temperate and boreal

forests. Thus, the problems and needs identified above for

British Columbia are both domestic and international in

scope.

As noted above, virtually all of the research and community development activity focussed on NTFPs in British

Columbia dates from the mid-1990s. Public and political

attention to this resource sector was sparked by the socalled “pine mushroom gold rush” and the discovery of

taxol (extracted from the Pacific yew (Taxus brevifolia

Nutt.)) as an effective cancer treatment. First Nations (i.e.,

indigenous) communities have been at the forefront of

interest in NTFP development. 

NONTIMBER FOREST PRODUCTS ON

NORTHERN VANCOUVER ISLAND

On Northern Vancouver Island, the past eight years

have seen an expanding program of NTFP activity. From

their initial status as an unknown acronym, NTFPs are now

considered to be among the high potential emerging industries for the region (Cathy Denham 2003, personal communication). Conferences, workshops, research projects, and

educational programs have been initiated and funded by 

a range of agencies including the Canadian and British

Columbia governments, First Nations, local governments,

forest companies and non-profit organizations. Since 2001,

the key initiative in the region has been the North Island

NTFP Demonstration Project, led by Royal Roads University

in collaboration with more than a dozen partner groups.

The project is implemented through a multi-disciplinary

research team that includes academic faculty, independent

researchers, industry and community representatives, and

federal, provincial, and First Nations researchers and

managers. 

Accomplishments 

The project has achieved both specific results in research,

training and local economic development, and less tangible

but equally important results in fostering networks and

relationships among individuals and organizations that will

support continuing development of the NTFP sector.

• Interdisciplinary participative research projects have

included the development and testing of an inventory

methodology for NTFP presence and abundance, capability mapping of key NTFP species, and investigation and

evaluation of co-management approaches for timber and

nontimber species (see Titus et al. 2004, in this proceedings). The projects have all been designed to maximize

stakeholder participation, training and capacity building

and have helped build bridges among researchers, harvesters and other stakeholders in the NTFP community. 

• Capacity building and liaison has been a focus of the

project and its predecessor activities. Activities have

included conferences, workshops, planning meetings,

presentations, consultation with groups throughout the

region, collaboration on joint funding applications and

support for projects undertaken by partner organizations.

These activities have culminated in the creation of the

94
95

Mt. Waddington Innovation Centre Society, which was

formed to establish and operate a Nontimber Forest

Products Innovation Centre in the region. Liaison and

capacity building activities have extended beyond the

region to the provincial, Canadian and international 

levels and have led to the development of a Centre for

Nontimber Resources at Royal Roads University (see

below under “Next Steps”).

• Education and training activities have ranged from 

informal and formal workshops to applied training for

harvesters and entrepreneurs as part of collaborative

research projects. Assessment of training and education

needs has led to the creation of the first Universityaccredited Certificate Program in Nontimber Forest

Products. Northern Vancouver Island is hosting the initial

offering of the program with financial and in-kind support from First Nations educational funding sources, the

Community Futures Development Corporation of Mt.

Waddington, the Ministry of Forests and the Pacific

Forestry Centre of the Canadian Forest Service.

• Entrepreneurship support and business mentoring have

included both broadly based information and support

service and focused support for committed entrepreneurs.

With support from project staff, businesses have started

or expanded in products such as ferns and mosses, floral

greens harvesting and production of wreathes and garlands, harvesting and processing of bracken fern fiddleheads, and mushroom harvesting and processing. Research

and educational activities have employed more than 30

local people, including experts and trainees in wild foods,

wild fungi, ecological inventories, natural health products, tourism, and cedar bark harvesting and processing

in different aspects of the project.

• Policy innovation and institutional development are an

integral component of the project. The absence of a 

policy regime for NTFPs and specifically the absence of

defined property rights are a central and critical challenge

in the sustainable utilization of nontimber resources

(Tedder et al. 2002). Project team members are collaborating with the British Columbia Ministry of Forests to

design pilot stewardship projects that could establish a

range of management experiments such as First Nationsforestry company co-management projects, stewardship

leases held and managed by harvester groups, and

regional multi-stakeholder management boards or associations. The North Island is one of three regions on the

B.C. coast where these management experiments will take

place, once implementation of the strategy is approved

by the Ministry of Forests executive. 

More information on the North Island project can be

found at www.island.net/ntfp/ and on the Royal Roads

University website (www.royalroads.ca).

Challenges

At a recent meeting of NTFP researchers, one participant observed that “NTFPs are on the corner of a lot of

desks, but they don’t occupy anyone’s entire desk”. NTFP

research, training and development have been fragmented

and marginal compared to other streams of activity, be they

forestry, economic development, horticulture, natural health

products, fine arts and crafts, tourism, the food industry or

education. The species themselves and the broad range of

products and services derived from them make the concept

of an “NTFP sector” both complex and elusive. 

There tend to be several NTFP industries, which differ

significantly from each other in terms of markets, industrial

organization, harvester populations, and “status”. Developing

a focus and a strategic direction for NTFPs often involves

convincing a wide variety of individuals and agencies that

they, too, are in the NTFP business or that this sector offers

potential benefits to them. In this regard, networking, raising awareness, and the development of partnerships are

essential and very time-consuming aspects of the North

Island project.

Fostering business development and new investment in

NTFP businesses has been among the greatest challenges

in the project. Historically, the small business sector has

not been strong on the North Island, especially in the forest

sector, which is dominated by large companies owned and

managed from outside the region (and sometimes outside

the country). At an early stage in the project it was thought

that the natural candidates for NTFP business development

would be displaced or underemployed forest workers. This

has proven not to be the case, although such workers have

shown increasing interest in harvest activities and in working on research projects. The most promising pool of NTFP

entrepreneurs appears to be existing business people looking for new opportunities. Unfortunately, this pool is quite

small on the North Island, there has been little influx of

new entrepreneurs and investors to the region, and publiclyfunded programs tend not to provide support to existing

businesses or focus on business retention. Because the markets for NTFPs are almost entirely outside the region, the

need for support in identifying markets and market trends,

product development, package design, and other services

essential to the production and marketing of higher value,

specialized products is much higher than it would be in an

urban area.
The absence of appropriate institutional arrangements

for managing NTFPs, and more particularly the absence of

property rights for NTFPs on Crown (public) lands is a

major impediment to the rational and sustainable development of the sector. Even where traditional or more contemporary management strategies exist informally at the

community level, these strategies are neither recognized

nor affirmed by formal government decision-making rules.

As noted earlier, individuals engaged in NTFP harvesting are often poorly organized and somewhat marginal to

the main stream of social and economic life in British

Columbia. Where individuals are limited in their ability to

access formal decision-making structures (and where the

absence of property rights encourages secrecy as a way of

protecting resource use), stakeholder pressure for policy

development and public investment in the sector tend to be

muted or absent2. In this regard, the contemporary negotiation of Aboriginal land and resource rights (the treaty-making process and other forums) in British Columbia provides

one of the few clear forums for discussion of these issues

and helps explain the significance of NTFP for many indigenous communities. At the same time, uncertainty about the

extent and nature of Aboriginal rights and title contributes

to the difficulties in achieving local consensus on appropriate institutional arrangements for NTFP s and discourages

the senior policy community (both public and private) from

venturing into discussions that are potentially fraught with

controversy.

Lessons Learned

Experience with the North Island NTFP Demonstration

Project and with a variety of other projects undertaken by

members of the research team leads to the following general conclusions:

• The complex, interconnected imperatives of sustainability must be reflected in research, development,

capacity building and policy building that incorporate

all significant environmental, economic and social

realities;

• Local applied projects cannot flourish without specialized expertise and research support and without

appropriate policy and industrial infrastructure that

can only be implemented at the provincial or national

level, or both;

• Provincial, federal or international research centres 

or agencies cannot be effective without the efficient

extension, practical application, and “buy in” possible

only through local projects that are genuinely supported and implemented by local communities; and

• Structures and processes that link local, regional,

national and international “nodes” are required so 

that information can be shared efficiently, capacity 

is built quickly, and innovation is diffused effectively.

To respond to these findings, the project team, other

members of Royal Roads University, and partners and

colleagues at the regional, provincial, national and international levels have developed two organizations that will

form a prototype for networking and mutual support in pursuit of sustainable utilization of nontimber resources. These

are the Mt. Waddington Nontimber Forest Products Innovation Centre (based on the north end of Vancouver Island),

and the Centre for Nontimber Resources (based at Royal

Roads University, Victoria, BC). The former will operate at

a local level, and the latter will operate more widely. The

North Island Demonstration Project will eventually be subsumed and expanded under these two organizations.

NEXT STEPS

Mt. Waddington Nontimber Forest 

Products Innovation Centre

The purpose of this Centre is to encourage, facilitate

and support the sustainable utilization of nontimber forest

products on Northern Vancouver Island and the Central

Coast of British Columbia. The Centre will be established

and operated by the Mt. Waddington Innovation Centre

Society. The working group (consisting of partners in the

North Island NTFP Demonstration Project) and other community representatives have identified five priority areas 

of activity for the Centre:

Business development—The Centre will provide a business perspective to those involved with NTFPs. The

Innovation Centre will assist in determining the commercial feasibility of various NTFPs including issues of sustainability of the product, packaging, and transport to

market. 

96

2 Edwards and Stein (1998: 371) observe in regard to the “commoners” of the New Forest in England that, “...a sub-section of the total user community,

the traditional grazers (‘commoners’) of the area have encountered over 900 years of governance whereby individuals outside their own immediate community (from a ‘higher’ socio-economic standing) have controlled the collective-choice decision-making arenas on their behalf. As a result, the commoners

have failed to develop the necessary skills to participate effectively in contemporary collective-choice decision-making arenas, nor does their culture present them with the will to do so. As a result, evolution of operational rules has been very much influenced by new types of users (such as recreational

users), who have greater access to the collective-choice decision-making arenas...” Many North Islanders, Aboriginal and otherwise, would agree with

such observations about ‘outside governance’ whether political or economic.
Research and information management—Research will

focus on supporting business development efforts, and

local forest management that supports co-management for

timber and nontimber production. Providing useful and

accessible information to the regional community will be 

a priority for the Centre.

Training and education—The Centre will collaborate

with Royal Roads University and potentially other postsecondary institutions in the delivery of accredited programs

and will also develop and deliver targeted training to meet

specific local needs. Programs for youth and school populations will also be developed in collaboration with educational and community organizations.

Community development/discussion forum—There is

currently no regional forum for representation of the NTFP

community. The working group expressed a strong desire

for such a forum to discuss issues such as land use rights,

licensing, certification, export assistance, control of

resources and other relevant issues and to ensure that the

interests of nontimber resources and those dependent on

them are fully represented in public policy development.

Coordination of First Nations’ interests—First Nations’

interests and representation are key elements in the development and management of the Centre, and are reflected in

the membership of the Board of Directors, the operating

principles of the Centre, and its proposed management,

staffing and services.

Centre for Nontimber Resources (CNTR)

The CNTR will be based at Royal Roads University, 

in Victoria, BC. The purpose of the CNTR is to support

and encourage sustainable utilization of nontimber forest

resources in the temperate and boreal regions of the world.

“Sustainable utilization” refers to the protection and enhancement of subsistence, cultural, recreational and commercial

uses, as well as the protection of ecosystem values. The

principal focus of the Centre is the wise use of nontimber

forest resources to diversify and sustain rural and resourcedependent economies. The Centre will initially concentrate

on research on botanical and mycological resources.

The Centre will accomplish its purpose by:

• Supporting primary and applied research that is

directed to all aspects of sustainable utilization of

nontimber resources, particularly research that is

directed to linking, integrating and applying research

results from multiple disciplines and integrated

research methodologies;

• Developing, delivering and fostering the delivery of

educational and training programs at the community,

industry, undergraduate and graduate levels, and

encouraging the development of nontimber resource

curriculum in the K-12 school system;

• Supporting the application and extension of research

in all areas of nontimber resource utilization, including commercial, subsistence, recreational and traditional uses;

• Contributing to the development of policies and institutional arrangements that promote the sustainable

utilization of nontimber forest resources; and

• Liaising with and supporting all sectors and communities concerned with the sustainable utilization of

nontimber resources, including Indigenous peoples

and communities, other rural and resource-dependent

communities, other research and educational institutions, industries and their organizations, the public

sector, and non-governmental organizations.

The management and operation of the Mt. Waddington

Innovation Centre and the Royal Roads CNTR will be

independent, but mutually supportive. It is envisaged that

the linkages between the two will encourage the creation of

other local “innovation centers” throughout the province,

and will provide models for networking centers to link

regional, provincial, national and international communities

of NTFP researchers and practitioners, thereby supporting

healthier, more diversified and more stable rural communities. 

ACKNOWLEDGMENTS

The list of all the partners, collaborators, supporters 

and friends who have “grown” the North Island project and

its offshoots would run into the hundreds. Particular thanks

to all members of the research team, to partners in North

Island First Nations, local government, the timber and nontimber forest products industries, and community economic

development organizations, to senior management of Royal

Roads University, and for funding support, to Forest Renewal

British Columbia, the Forest Research Program of the

Forest Investment Account, the Canadian Forest Service,

the B.C. Ministry of Forests, Western Forest Products,

Western Economic Development, Human Resources Development Canada, the Namgis First Nation, the Musgamagw

Tsawataineuk Tribal Council and the Regional District of

Mt. Waddington. 

97
LITERATURE CITED

B.C. Ministry of Forests. 1995. Botanical forest products 

in British Columbia: an overview. Victoria, BC: B.C.

Ministry of Forests, Integrated Resources Policy

Branch. 

Edwards, V.M.; Steins, N.A. 1998. Developing an 

analytical framework for multiple-use commons.

Journal of Theoretical Politics. 10(3): 347–383.

National Research Council. 2002. The state of Canada’s 

forests, 2001–2002. www.nrcan.gc.ca/cfs-scf/national.

Tedder, S.; Mitchell, D.; Hillyer, A. 2002. Property rights 

in the sustainable management of nontimber forest

products. Victoria, BC: B.C. Ministry of Forests and

Forest Renewal B.C. 

Titus, B.; Cocksedge, W.; Bell, C.; Mitchell, D.; 

Dushenko, W. 2004. Co-management for nontimber 

forest products in Coastal BC, Canada. In: Donoghue,

E.M.; Benson, G.L.; Chamberlain, J.L., tech. coords.

Sustainable production of wood and non-wood products:

Proceedings of IUFRO Division 5, Research Groups

5.11 and 5.12, Rotorua, New Zealand, March 11–15,

2003. General Technical Report. PNW-GTR-604.

Portland, OR: U.S. Department of Agriculture, Forest

Service, Pacific Northwest Research Station: 99–102.

Wills, R.M.; Lipsey, R.G. 1999. An economic strategy to 

develop nontimber forest products and services in

British Columbia. Victoria, BC: Forest Renewal B.C. 

98
1 Natural Resources Canada, Canadian Forest Service, Pacific Forestry Centre, 506 West Burnside Rd., Victoria, BC, Canada, V9A 6N2. 2 Royal Roads University, 2005 Sooke Road, Victoria, BC, Canada V9B 5Y2.

3 All values in Canadian dollars (CAD); 1.00 CAD = 0.747 USD; = 0.650 EUR; = 1.09674 AUD; = 1.26 NZD; = 88.2 JPY.

Proceedings from IUFRO Division 5, Research Groups 5.11 and 5.12, number 16

CO-MANAGEMENT FOR NONTIMBER FOREST

PRODUCTS IN COASTAL BRITISH COLUMBIA, CANADA

Brian D. Titus1, Wendy Cocksedge2, Charlotte E. Bell2, 

Darcy A. Mitchell2 and William T. Dushenko2

INTRODUCTION

Some classical forest management activities can be

modified to enhance both timber and nontimber values in

the coastal forests of British Columbia, with income from

nontimber forest products (NTFPs) partially off-setting

increased forest management costs. There are three potential areas of immediate interest in which total forest values

could be increased: whole-plant extraction before tree harvesting for the native plant horticultural trade, co-management through silvicultural treatments to enhance a semi-shade

understory shrub (salal (Gaultheria shallon)) for floral

greenery, and co-management for mosses.

CO-MANAGEMENT FOR WHOLEPLANT EXTRACTION BEFORE TREE

HARVESTING 

Uncontrolled removal of entire plants for the horticultural trade can deplete species in the wild. However, as all

plants are lost through road building, their removal from

planned roadbeds could provide material for the horticultural sector while also providing sustainable income for

forest-based community members. Likewise, removal of

species that would not survive canopy removal or logging

activity from planned cut blocks would also lessen pressure

on wild stocks. Clear communication and procedures can

be used to ensure that forest planning activities take removal

of horticultural species into account. 

Fern and moss (Rhytidiadelphus loreus) survival on

timber cut blocks is now being monitored in a study on

northern Vancouver Island, near Port McNeill (fig. 1). An

operational trial has been completed, and demonstrated that

it is economically viable to harvest two species of ferns

(Blechnum spicant and Polystichum munitum) from planned

roadways. The trial included training of local residents in

99

the identification, harvesting, processing and marketing of

the ferns. It was found that the learning curve for this economic activity was quickly overcome. Initially, an average

of 44 B. spicant bare-root products were harvested per hour,

but this soon climbed to over 90 per hour. Based on the

harvest trials and market research, it is estimated that a harvester could anticipate earning approximately $200 CAD3

to $400 per day (excluding transportation and equipment

costs) in the sustainable salvage of ferns on northern

Vancouver Island.

An unexpected spin-off of the marketing side of the

work was the discovery that most horticultural merchants

would only purchase ferns from harvesters if they could be

assured that the ferns were picked in a sustainable manner.

This was easily accomplished, given that the ferns came

from planned roadways, through the auspices of the North

Island NTFP Demonstration Project and Royal Roads

University. Increasing pressure for certified sustainable NTFP

products may reduce exploitation of ferns in the wild.

CO-MANAGEMENT FOR SALAL

Salal makes up ~95% of the floral greenery exported

from Canada. There are 22 firms in the floral greenery sector in British Columbia, with collective gross revenues (1997)

of $55–60 million, and 12–15,000 pickers. Salal is a semishade ericaceous species that retains its leaves for several

years. Shade- rather than sun-leaves are picked, and therefore forest management activities that produce partial shade

provide co-management opportunities. These include: (1)

modify clearcut harvesting patterns to increase semi-shaded

forest edge, (2) use partial harvesting systems that retain

overstory (e.g., shelterwood), (3) plant high-value conifer

species that do not form dense canopies (e.g., Thuja

plicata), (4) fertilize young stands to decrease period of

time over which sun-leaves are produced, and increase
salal nutrition and productivity, (5) prune young stands to

improve picker access to high quality salal immediately

beneath developing trees, and (6) thin stands, especially

using multiple entries, and combine with fertilization. The

commercial salal resource on Vancouver Island is showing

signs of exploitation, from reduction in total stem length to

death of plants, and this is beginning to result in migration

of workers to increasingly remote areas. Co-management

may be one way of increasing productivity in the shortterm, thereby alleviating pressure on an increasingly scarce

resource until policies can be put in place to ensure a sustainable salal sector.

Salal is associated with reduced growth of conifer regeneration on the north coast of Vancouver Island, and stands

on some nutrient-poor site types are often fertilized (~250

kg ha-1 N + ~100 P kg ha-1) at ~10 years of age to enhance

early tree growth. Salal also responds well to this treatment,

and amounts harvested from plots varying in time from

fertilization were recently compared with amounts harvested

from adjacent control plots, near Port McNeill (fig. 1).

Fertilized sites produced up to ~1000 kg ha-1 of salal

(worth ~$2,200 ha-1 @ $2.20 kg-1 = $1.00 lb-1) 3 years

after treatment, while adjacent control stands lacked commercial salal. Salal productivity on fertilized sites then

declined as tree canopies closed, and commercial salal was

not present on sites >6 years after fertilization because of

shading. Productivity on control plots increased over time,

and one older site ultimately produced as much as younger

fertilized sites (~1000 kg ha-1). The key difference was that

these amounts were available on fertilized sites 13 years

after tree planting, as compared to 18 years for unfertilized

sites. This represents a reduction of 5 years in the time it

took for commercial salal to become available to harvesters.

Further work will be therefore be required to determine if

(1) the increased salal productivity after fertilization resulted from the added nutrients or from enhanced tree growth

that created a favourable semi-shade condition, and (2)

whether salal productivity over the commercial lifespan of

salal in a stand is increased by fertilization (i.e., from the

time picking is initiated once a semi-shade condition is

reached until salal is shaded out and no longer of commercial quality), or if the decreased time for picking through

increased tree growth following fertilization is not balanced

100

Figure 1—Location of study sites on Vancouver Island, British Columbia
by an increase in salal productivity over a shorter time

period. If fertilization increases total commercial salal productivity over a stand rotation, then salal harvesting may

help justify wider use of fertilizer in this region.

On the drier south coast of Vancouver Island, the total

above-ground biomass of salal increased proportionally

from ~4,000 to ~10,000 kg ha-1 as canopy cover decreased

from ~95% to ~55% with increasing levels of thinning in a

Douglas-fir stand near Victoria (fig. 1). However, commercial salal productivity increased from ~$200 ha-1 at low

light levels (~95% canopy) to ~$500 ha-1 at intermediate

light levels (~80% canopy) and then unexpectedly decreased

to ~$350 ha-1 in the most intensively thinned treatment

(~55% canopy) because of insect and disease damage to

leaves at higher light levels. This emphasises the need for 

a wide range of knowledge on the biology of plants used

for NTFPs and the ecosystems in which they are found,

including insect herbivory and pathology.

Future work will focus on quantifying commercial salal

productivity on a wide range of sites so that preferred habitat and forestry treatments that enhance commercial salal

productivity can be identified, and both timber and NTFP

values quantified.

CO-MANAGEMENT FOR MOSSES

Moss is increasingly of value as an NTFP. Changes 

in forest structure through operational treatments such as

spacing, thinning and clearcutting will influence the abundance and diversity of mosses and other ground-level

species, but specific responses of mosses to forest management activities are not yet well understood. These responses

were examined in a chronosequence of sites on northern

Vancouver Island (submontane very wet maritime variant

of the Coastal Western Hemlock biogeoclimatic zone,

CWHvm1), near Port McNeill (fig. 1). Variability in moss

species occurrence and abundance were compared across

stands of different operational forest treatment types

(clearcut, spaced, thinned) within five stand age classes (2-

to 130-years-old). Options for facilitating local community

input and indigenous ecological knowledge into timber and

nontimber co-management were also examined. 

Mosses, liverworts, ferns, herbs and shrubs were sampled in twenty 1-m2 quadrats in 10 stands, (epiphytic mosses

are not common in the ecosystem studied, and were therefore not included.) The 10 stands consisted of a pair of

control and treated stands within each of 5 age classes: (1)

2-year-old clearcut and 130-year-old mature stand, (2) 19-

year-old control and spaced stand, (3) 27-year-old control

and 34-year-old spaced stand, (4) 56-year-old control and

60-year-old thinned stand, and (5) 70-year-old control and

thinned stand.

Heterogeneity (an index of species diversity), equitability (the ratio between observed species and maximum

species diversity), abundance (of all observed moss species,

measured as percent cover) and moss volume (of the three

most common species only—Hylocomium splendens,

Kindbergia oregana, Rhytidiadelphus loreus—measured as

percent cover x moss stem length x unit area) were calculated for mosses species in each of the stands in the

chronosequence. 

Overall, sixteen moss species were found on the sites

(table 1). There was increasing moss heterogeneity with

increasing age of stand, but no clear correlations with stand

treatment. Equitability for moss species was lowest in the

19-year-old stands, increased in the 27- to 34-year-old

stands, and stabilized thereafter.

Statistically significant relationships could not be established for many of the 16 species of moss that were found.

Regression analyses (n = 199) showed that stand age class

and stand treatment were both statistically significant factors in explaining volume of Hylocomium splendens (step

moss), while stand basal area and stand density (stems ha-1)

were more useful for explaining H. splendens cover. A positive relationship with stand age class and a negative relationship with stand treatment were found for both volume

and cover of Kindbergia oregana (Oregon beaked moss).

No statistically significant relationships were found between

Rhytidiadelphus loreus (lanky moss) cover and any of the

environmental factors measured in the field, although the

volume of R. loreus increased with stand age. Adjusted R2-

values for these analyses were all <18.5%. 

The low R2-values, while statistically significant, indicated that over 80% of observed variability in moss species

cover and volume was not explained by stand age class,

treatment, basal area, height, or density. Abundance (percent

cover) of other species, including liverworts, ferns, herbs

and shrubs, was used as a factor to discern ecological interactions with moss; however, none of the relationships were

statistically significant. 

It is presently unclear what a sustainable ground moss

harvest strategy would be on northern Vancouver Island.

Management prescriptions must be based on accurate predictions of moss occurrence and abundance, and should

also draw on indigenous and local ecological knowledge. 

There is a need for moss co-management field trials in

101
which permanent plots are established and moss from them

picked prior timber being cut, with subsequent monitoring

for moss re-growth. The use of applied research, indigenous ecological knowledge, and adaptive forest management could enable access to NTFP opportunities that are

both ecologically and economically sustainable.

CONCLUSIONS

These studies have shown that there is potential for 

co-management to (1) increase both timber and nontimber

values in coastal forests in British Columbia, (2) produce

material from planned roadways that is eminently suitable

for the certified NTFP trade, and (3) reduce, even in the

short-term, pressure on valuable NTFP species through

increased productivity, until policies can be developed to

ensure the sustainable use of NTFP species. The work on

Vancouver Island is preliminary, and some is the first of its

kind in British Columbia. The lessons learned will guide

further work planned for the future, on both the coast and

elsewhere in British Columbia.

ACKNOWLEDGMENTS

These four studies would not have been possible without the advice and support of: Annette van Neijenhuis and

the staff of Western Forest Products Ltd.; Fangliang He,

Donna Macey, Karen Hogg and Sandra Nicols (Pacific

Forestry Centre); Cindy Prescott and Candi Staley (University

of British Columbia); and local NTFP harvesters and workers.

The studies were partially funded by the Forest Research

Program of the Forestry Innovation Investment program,

through the North Island Non-Timber Forest Products

(NTFPs) Demonstration Project and SCHIRP, and by

Natural Resources Canada (Canadian Forestry Service,

Pacific Forestry Centre).

102

Table 1—Mosses, liverwort and fern species found in a chronosequence 

of 10 stands from 2- to 130-years-old on northern Vancouver Island.

Mosses Liverworts Ferns

Aulacomnium palustre Lophozia incisa Athyrium filix-femina

Homalothecium ssp. Conocephalum conicum Blechnum spicant

Atrichum selwynii Lepidozia reptans Dryopteris expansa

Hypnum ssp. Calypogeia muelleriana Polystichum munitum

Hylocomium splendens Plagiochila porelloides Pteridium aquilinum

Isothecium stoloniferum Riccardia ssp.

Kindbergia oregana Scapania bolanderi

Leucolepis acanthoneuron 

Mnium ssp.

Pogonatum macounii 

Plagiothecium undulatum 

Plagiomnium insigne 

Dicranum ssp.

Rhizomnium glabrescens 

Rhytidiadelphus loreus 

Sphagnum ssp.
1 Director, U.N.F.A.O., Forest Products Division, Forestry Department, Viale delle Terme di Caracalla, 00100 Rome, Italy.

2 Forestry Officer, U.N.F.A.O. Wood and Non-Wood Products Utilization Branch.

3 NWFP consists of goods of biological origin other than wood, derived from forests, other wooded lands and trees outside forests (FAO 1999).

Proceedings from IUFRO Division 5, Research Groups 5.11 and 5.12, number 17

DEVELOPING METHODOLOGIES FOR THE ELABORATION 

OF NATIONAL LEVEL STATISTICS ON NWFP: LESSONS LEARNED 

FROM CASE STUDIES AND FROM A GLOBAL ASSESSMENT

Wulf Killmann1, Francois Ndeckere2, Paul Vantomme2 and Sven Walter2

INTRODUCTION

In many countries, non-wood forest products (NWFP)3

play an important role in the daily life and well being of

their population, particularly in remote areas. In addition to

subsistence consumption, NWFP may also be commodities

traded on local, national as well as international markets.

Internationally traded NWFP, such as bamboo and rattan

products, gum Arabic, aromatic oils and medicinal plants,

achieve higher prices as compared to NWFP traded locally

and can contribute significantly to poverty alleviation and

local economical development.

However, despite their (real and potential) importance,

no regular and standardized evaluation of the socio-economic contribution of NWFP is being carried out by national

institutions, as is the case for timber or agricultural products.

In the FAO Yearbook of Forest Products, for example, statistical data on NWFP such as cork, tannins, bamboo and

ABSTRACT

Reliable and periodical assessments of quantities and values of production and trade at the national level of non-wood

forest products (NWFP) are essential for policy formulation governing the sustainable development of forests. However,

such statistics do not yet exist for most countries, neither is the already available data comparable among countries. Under 

a joint European Commission–Food and Agriculture Organization (FAO) partnership programme in support to sustainable

forest management in Africa, Asia and Latin America, the NWFP Programme of FAO has developed a standard reporting

format to assist countries in recording statistics on the production and trade of major NWFP. This approach was used in

order to compile NWFP country profiles for all countries of Latin America, Caribbean, Africa, Near East and Asia. The

result of this global assessment has been published as a separate chapter of the Forest Resources Assessment 2000 (FAO

2001). From the lessons learned by implementing this global survey, specific case studies to improve NWFP data gathering

methodologies were carried out in selected African and Caribbean countries (Suriname, Cameroon, and Madagascar). The

results of the case studies were analysed and recommendations for improved NWFP data gathering methodologies were 

formulated. 

KEY WORDS: Statistics, production, trade, methodologies, non-wood forest products.

103

various oils were covered during the period 1954 to 1971

(Chandrasekharan 1995). Today, reliable information and

statistical data are mostly unavailable, both on the economic

value of the products and their contribution to the national

economy, and on the sustainability of their exploitation (e.g.

resource availability, harvesting impact, etc.). Some information may be available at the local level, on a specific

product or in a specific area, but this information generally

cannot be extrapolated at the country level. At the national

level, production and trade statistics on major NWFP

remain the exception. In the best case, available information is restricted to selected products that are of particular

interest to specific regions/countries, such as bamboo products in China, rattan in the Philippines, gum Arabic in

Sudan, or Brazil nuts in the Amazon.

Accurate, reliable information and market outlook studies on non-wood forest products (NWFP) utilization and

trade are an essential tool for forest management decision-
makers at all levels. In most countries, the current coverage

and quality of existing information is inadequate for policy

analysis and decision making at national level for forest

development.

FAO currently assists national governments and institutions to improve the availability of national qualitative and

quantitative data related to NWFP. This effort includes: the

development of a standard framework that describes the

key information required for the evaluation of NWFP utilization at the country level; the improvement and/or elaboration of methodologies for the collection and validation of

the required information—including more precise product

nomenclature and corresponding product classification; and

the compilation of standardized national reporting formats

on NWFP.

These activities were carried out within the framework

of the European Commission (EC)–FAO Partnership Programme on data collection and analysis for sustainable 

forest management in African, Asian, South American,

Caribbean and Pacific Countries, from 1998 till 2002; and

were funded by the European Commission (DirectorateGeneral VIII). 

MATERIALS AND METHODS

Under the above mentioned joint EC-FAO partnership

programme, the NWFP Programme of FAO has developed

a standard reporting format to assist countries in recording

statistics on the production and trade of major NWFP. This

approach was used in order to compile NWFP country 

profiles for most countries of Latin America, Caribbean,

Africa, Near East and Asia. The result of this global assessment has been published as a separate chapter of the Forest

Resources Assessment 2000 (FAO 2001). 

During the project, information on NWFP was gathered,

reviewed and compiled to assess the socio-economic significance and ecological impact of NWFP utilization for

each country. Existing gaps in the available information,

and the constraints related to data collection on NWFP, were

identified to elaborate proposals for an adequate monitoring of NWFP utilization. Desk studies were carried out in

order to compile draft “country briefs” on NWFP. A standard

format for the presentation of the information for the country briefs was elaborated, which includes key information

requirements for the evaluation of NWFP utilization. Regional

workshops for data validation were held in Africa, Latin

America and Asia from 1998 till 2002. The draft country

briefs were discussed with country representatives during

these workshops with the aim to validate available information. 

Regional syntheses were compiled based on all the

information collected and includes the identification of

major commercialized NWFP and key species, as well as 

a discussion of the ecological, socio-economic and policy

aspects related to NWFP. 

The aim of these activities is to help the institutions

concerned to respond to three key questions related to the

collection and analysis of statistical data on NWFP:

• What kind of information is required to assess 

production and trade in NWFP?

• What kind of national information is already 

available on NWFP?

• What needs to be done in order to improve the 

availability of statistical data on production and 

trade of major NWFP?

WHAT KIND OF INFORMATION IS

REQUIRED?

Monitoring of the resources and evaluation of the economic value of the products for the entire variety of NWFP

in a given country is neither feasible nor desirable. The

project aimed at identifying NWFP of national relevance

for which monitoring and evaluation are strongly needed.

Exported and widely used products in national markets

were identified in contrast to NWFP of minor importance

or significance limited to a selected region. This prioritization will help countries to focus their efforts initially on

improved data collection for major NWFP. A further step

would then be to include other NWFP as their institutional

capacities improve. 

In order to evaluate both the socio-economic importance of NWFP utilization and the ecological impact of

NWFP exploitation, key information on the product,

resource and economic value should be collected:

(a) Product information: “WHICH products?”

For the aim of this project, NWFP were classified

mainly according to their end uses, for example as:

foods, medicinal plants, fodder, ornamentals, handicrafts, exudates...etc. Information on these categories

of NWFP is found more frequently in the literature.

The first step is (to check) the correct botanical identification of the plant or animal species. In some cases,

this identification can be difficult because the same

commercial product can be extracted from more than

one species and, vice versa, several different NWFP

can be taken from a single species. 

104
(b) Resource information: “HOW is the product 

harvested?”

Resource information on whether the species used is

gathered from wild sources or cultivated (or both) is

important. The exploitation of wild species versus 

cultivated species (generally integrated in a man-made

management system) has direct implications on choices

at the management level and can have far reaching

ecological and socio-economic impacts. Another

important element is to describe which part of the

plants is harvested (e.g. roots, bark, fruits, leaves, 

exudates, wood, etc). In fact, the harvesting of different

parts of plants has a different impact on the ecology

and survival of the species harvested. Knowledge on

the habitat of the exploited species is also important 

as harvesting of NWFP might cause degradation of 

the habitat if the exploitation is carried out in an

unsustainable way. Besides this information, it is

important to know the cultural and socio-economic

context of the NWFP utilization (for example, access

to the resources, the main social categories of harvesters, users, traders, etc.).

(c) Socio-economic information: “HOW MUCH?”

In order to evaluate the economic importance of

NWFP, quantitative data is required on production and

trade. Figures should indicate both quantity (tons, m3,

etc.), product status (dried, graded, semi-processed,

etc.) and value (US$) for a given period (year). 

WHAT KIND OF INFORMATION 

IS AVAILABLE?

The information compiled by implementing this global 

survey showed that NWFP are still a major source of food

and income in many countries of the world. However, few

countries monitor their NWFP systematically, so an accurate global assessment is difficult. This section provides a

summary of NWFP for which data have been collected and

describes the most important NWFP in each region, with

estimates of economic value where available. Some of the

major problems associated with collecting and analysing

data on NWFP are discussed, and suggestions for improving this situation are advanced. The full report with the

global and regional synthesis is available (FAO 2001),

while detailed country assessments are available on-line

from the FAO Forest Department webpage by clicking on

“country information”. 

Asia is by far the world’s largest producer and consumer

of NWFP, not only because of its population size but even

more because of the traditional use of a vast variety of different products for food, shelter and cultural needs (FAO

2002a). Asia is unique in that most countries in the region

have included data on production and trade of major NWFP

in their national statistics for many decades and have developed their own nationally applicable definitions, terminology

and classifications for their “minor forest produce”. The

types and the relative importance of the listed products

change from country to country, but the most important

products at the regional level are rattan, bamboo, medicinal

and aromatic plants, spices, herbs, resins, mushrooms, forest fruits and nuts, vegetables and fodder. In addition the

Philippines, Indonesia and Malaysia include assessments 

of NWFP resources in their national forest inventories. 

China and India are by far the world’s largest producers

and consumers of various NWFP. China produces and

processes more wild products than any other country in the

world. There is growing interest worldwide in its natural

foodstuffs, traditional medicines and herbs and in its handicrafts, made mainly from rattan and bamboo. Thus, China

dominates world trade in NWFP. It is closely followed by

India and then by Indonesia, Viet Nam, Malaysia, the

Philippines and Thailand. 

Rattan is the most important internationally traded

NWFP in the world. At the local level, it is of critical

importance as a primary, supplementary and/or emergency

source of income in rural areas. Indonesia hosts the bulk of

the world’s rattan resources (by both volume and number

of species) and is the largest supplier of cane, with an estimated annual production of 570 000 tonnes. 

Bamboo is by far the most commonly used NWFP in

Asia. Although international trade in bamboo products is

still of lesser importance than trade in rattan or medicinal

plants, it has dramatically increased in the last decade.

Unlike rattan, bamboo is moving out of the craft industry

phase and now provides raw material for industrial products (shoots, construction poles, panelling and flooring

products, pulp). This has important repercussions for the

bamboo resource base. Bamboo is increasingly becoming 

a domesticated crop grown by farmers. Harvesting of bamboo in forests is still important in Myanmar and the Lao

People’s Democratic Republic and in remote mountain

forests in northern India, central China and Viet Nam. 

Medicinal plants are of major importance in continental

Asia, particularly for the higher-elevation regions of Nepal,

Bhutan, northern India and Pakistan and southwestern

China. High-value medicinal plants include Nardostachys

jatamansi, Dioscorea deltoidea and Swertia chirayta. In

the drier regions in continental and south Asia, fodder is

the main NWFP. 

105
The rich forests of insular and Southeast Asia have 

traditionally been a major source of a wide variety of nonwood forest products. Those for which there is significant

production and trade include bamboo and rattan, medicines

and herbs (Ephedra sp., Anamirta cocculus, Cinnamomum

camphora), essential oils (Styrax spp., Pogostomon cablin,

Cassia spp., Citronella sp.), spices, sandalwood, fruits and

resins.

The extensive pine forests in the region provide the

resource for the collection of pine-related products such as

resins, seeds and mushrooms. China and Indonesia dominate the world's production of oleoresins (naval stores)

from all sources (largely Pinus spp.), which ranges between

1.1 and 1.2 million tonnes annually. China has emerged as

the world’s largest producer of resin, with an annual production level of nearly 400 000 tonnes. Pine nuts (seeds of

Pinus gerardiana, P. pinea, P. koraiensis and P. cembra)

are an important product with a growing and high-value

market, particularly in developed countries. Wild edible

mushrooms, particularly morels belonging to the genus

Morchella, are another product of considerable economic

and commercial significance. 

The most important NWFP in Africa are medicinal

plants, edible products (mainly edible plants, mushrooms,

bush meat and bee products) and fodder (Walter 2001).

Products of relevance for specific sub-regions are exudates

(East and West Africa), cork and aromatic plants in North

Africa (Sabra and Walter 2001), ornamental plants and 

living animals (insular East Africa) and rattan (Central

Africa). NWFP are collected in all kinds of habitats,

whether in closed or open forests, woodlands (e.g. miombo

woodlands in East and southern Africa) or shrublands

(mainly in arid zones). Many products (e.g. shea butter) are

derived from trees outside the forest located in agricultural

fields, fallow areas or home gardens. 

NWFP provide important foodstuffs, in particular during

the “hungry season” and in marginalized areas affected by

conflict. Non-wood forest products provide an important

source of income for women. Important edible plants include

fruits (e.g. Irvingia gabonensis), nuts (e.g. Vitellaria paradoxa), seeds (e.g. Cola acuminata), vegetables (Gnetum

africanum), bark (e.g. Garcinia sp.), roots (e.g. Dioscorea

sp.), spices (e.g. Piper guineense) and mushrooms. Bushmeat

is an important edible product, in particular in the humid

parts of Central and West Africa. Honey and beeswax are

of major importance in East and Southern Africa. 

Fodder is of great importance in the arid and semi-arid

zones. Exudates are another group of products of major

importance for sub-Saharan Africa. Important products

include gum arabic (Acacia senegal, Acacia seyal) as well

as resins such as olibanum (Boswellia papyrifera), myrrh

(Commiphora myrrha) and opopanax (Commiphora spp.).

These products are mainly provided by three East African

countries, the Sudan (gum arabic, olibanum), Ethiopia

(olibanum) and Somalia (myrrh, opopanax). 

Depletion of habitat and/or overexploitation are the

main threats to the resources providing NWFP. Overexploitation has been documented for species such as Acacia 

farnesiana, Cyathea spp., Cycas thouarsii, Gnetum africanum, Podocarpus sp., Prunus africana, Warburgia salutaris and Xylopia aethiopica as well as for some species of

rattans, orchids, reptiles, birds, frogs, lemurs and primates.

Some of these species (e.g. P. africana) are included in the

annexes of the Convention on International Trade in

Endangered Species (CITES). 

The most important NWFP in Latin America are edible

products (nuts, fruits and palm hearts, mushrooms and

maté), resins, latexes and essential oils (pine resins, natural

rubber and eucalyptus oil), medicinal plants, fibers and

construction materials (palm fibers, bamboo), fodder, colorants and tannins (FAO 2002b). In the Amazon region, 

the most well-known edible products, with a considerable

domestic, regional and international market, are Brazil nuts

and palm hearts. Palm hearts are extracted from wild stands

of Euterpe spp. or from cultivated palm species like Bactris

gasipaes. The fruits of Euterpe spp. are also an important

ingredient in foods and drinks. Latex extracted from Hevea

brasiliensis is the basis for the production of natural rubber.

In Argentina, Uruguay, Paraguay and southern Brazil,

the leaves of Ilex paraguariensis are used to brew maté, 

an extremely popular tea-like beverage. Brazil, Argentina

(Pinus elliottii), Honduras and Venezuela (P. caribaea) are

important commercial producers and exporters of pine

resin. Mexico, Guatemala (Petén) and Belize are major

producers of Chicle, which is a latex tapped from the

sapodilla tree (Manilkara zapota) and is used for making

chewing gum. 

The South American region has a long tradition of 

medicine based on plants, for example Cinchona spp. is the

source of the antimalarial drug quinine. World production

of quinine bark is approximately 8 000 to 10 000 tonnes

per year. Important producer countries in South America

are Brazil, Bolivia and Colombia. Quebracho colorado

(Schinopsis spp.) is a source of tannin in Argentina and

Paraguay. 

106
Bamboos are largely used in construction, furniture and

handicrafts in Colombia, Ecuador and Venezuela. In nontropical South America (particularly Chile), the young

branches of Salix viminalis are split and woven for the 

production of furniture, baskets and other household items.

Other frequently used fibers in the region include the

leaves of several palm species. 

In terms of forest management, there is very little experience in South America with management of NWFP or

with integrated management of forests for timber and NWFP.

Trials have been conducted for some species. However,

most harvesting is done opportunistically and often in a

predatory manner. The result is that wild populations of

various species are threatened by overexploitation and

habitat destruction. 

Over the years there has been a general reduction of the

proportion of South American NWFP in the international

markets, as shown by trade statistics for commercial products (for example latexes, gums, resins). The Brazilian 

government agency for statistics, Instituto Brasileiro de

Geografia e Estatistica (IBGE), surveyed the production 

of some 34 products based on their past economic importance. In 1980, 11 of these had economic value (i.e. production value higher than US$200,000) and the total

production value was US$160.2 million. By 1995, the

number of products had decreased to six and the production

value had dropped to US$65.4 million (ITTO 1998). The

decline, in many cases, can be ascribed to competition

from synthetic substitutes or products from domesticated

sources, but in some cases it is caused by the degradation

of the natural resource base. On the other hand, some other

products have seen a sharp rise in demand. In Bolivia, for

example, in the past ten years recorded palm heart extraction increased from 11 to 4185 tonnes. 

As reported in the ‘Temperate and Boreal Forest

Resources Assessment’ (UNECE/FAO 2000) there are, in

general, few reliable and systematically collected data on

NWFP production for most OECD countries. National

potentials, quantities and value by product category and the

volumes traded or consumed are poorly known and/or documented in their national forest statistics. A few European

countries maintain some regular statistics on NWFP for

which harvesting permits are issued by the forest authorities, such as mushrooms, berries, game meat and hunting.

Key NWFP on which data are reported include, in order of

importance: Christmas trees (including production from

plantations on farms and from cuttings in forests), mushrooms, berries and game meat. A few countries also report

on decorative foliage, cork, pine resin, herbal plants, honey

and nuts (particularly chestnuts, acorns, hazelnuts and stone

pine nuts). For nuts, herbal plants and honey, reported data

on total country production include significant outputs from

agricultural lands and are usually reported in agricultural

statistics. 

In Canada and the United States, a great variety of

NWFP are gathered, mainly for personal use, and their collection is widespread among rural populations. However,

only a few products are included in national forest product

statistics. In Canada reported products include: Christmas

trees, pelts and maple syrup. Reported data from the United

States cover five products: Christmas trees, mushrooms,

pelts, maple syrup and commercial fish catch. Even so, the

records on mushrooms refer to only four major species

from among 25 to 30 species that are commercially used.

There are no data for some widely consumed products such

as game meat and berries. 

LESSONS LEARNED FROM THE 

GLOBAL NWFP ASSESSMENT

This study confirmed that there is a serious lack of

quantitative data at the national level on non-wood forest

products and even less on the resources that provide them,

with the exception of Asia where there is a tradition of

national collection of information on NWFP resources and

consumption. Information is scarce and often mixed with

agricultural production statistics. Statistical data, where

they exist at all, are mostly limited to selected internationally traded products and, in this case, data are usually limited to export quantities. Information on the resource base

and on subsistence use of NWFP is non-existent, mainly

because of the multitude of products used by local people

and the technical difficulty and high cost of measuring and

reporting on them. 

Even when data exist, they are seldom based on recurrent, statistically designed surveys and inventories, and it is

therefore difficult to assess the reliability of the information.

For example, even in Asia much of the information is based

on national inventories which may be up to ten years out of

date. A similar problem exists for the economic value associated with the products because value can be calculated at

different stages of production and processing. The data

obtained from traditional forestry institutions responsible for

the forest resources often differ from the trade data reported

by customs agencies. 

Because of the factors described above, as well as the

lack of internationally agreed-upon terminology, concepts,

product classification and clear definitions, statistical data

on NWFP resources and production are not usually comparable among countries or regions. Therefore, regional and

107
global aggregation of production and value is very difficult.

A classification system with unified terminology and measurements is needed. 

Most of the products are extracted from natural stands

in various types of forest and woodland ecosystems. However, among the current issues of global resource monitoring is the lack of management of non-wood resources. For

products in high demand, this often leads to unsustainable

harvest levels and the potential endangerment or extinction

of the species. This has serious socio-economic implications

for people dependent on the availability of these resources.

Some important products, such as bamboo, are evolving

into farmed crops, while others, such as many medicinal

plants, are becoming endangered because of deforestation

and/or overharvesting. The use of synthetic substitutes has

made many others, such as guta percha, balata, sorva, copal

and piassaba fibers, obsolete.

What Needs to be Done in Order to Improve the

Availability and Quality of Statistical Data on

Production and Trade of Major NWFP?

In addition to the above desk studies and the regional

data validation workshops, “pilot studies” were initiated in

given countries to develop and/or improve appropriate

methodologies and data gathering mechanisms for collection, validation and compilation of statistical data on NWFP.

These methodologies should provide reasonable estimates

of the production, consumption and trade in NWFP and be

cost-effective, widely applicable and relevant to other

countries in the region. In addition, the aim is to evaluate

the coverage of NWFP through national statistics and to

identify key institutions involved or needed in the collection of statistical data, as well as the methods used for data

collection. Finally, necessary steps to improve the availability of statistical data on NWFP were elaborated, as well

as the identification of related training and capacity building

needs in the countries. 

Case studies were implemented in Suriname (Rahan-Chin

2002), Cameroon (Mbolo 2002) and Madagascar. Lessons

learned from the case studies and the above assessment

showed that for most countries statistical data on NWFP

are scarce and mainly available for exported NWFP. However, only a few exported NWFP do have specific product

classification codes and are included in the International

Harmonized Commodity Description and Coding System

(HS) of the World Custom Organization (WCO). Most

other information on NWFP is based on the analysis of

licenses and permits which are issued by various governmental organizations, mostly those departments in charge

of forestry, but also from those covering agriculture, industry, customs or trade. The available data mainly shows the

economic value of exported products and are insufficient

for appropriate monitoring and evaluation of the management of natural resources.

The Surinam study suggests that a lead institutional

infrastructure is needed and a refinement of data to be collected. The current objective of the collection of statistical

data is to assess the value and revenues from NWFP for the

government. These data are insufficient for the appropriate

monitoring and evaluation of the management of resources

providing NWFP.

The following major constraints have been identified

regarding statistical data collection: there is no legal definition of what are to be considered NWFP; no uniformity

exist in data collection; there is little or no coordination or

exchange of information among the different line ministries

(forestry, agriculture, industry, customs) involved along the

NWFP production, processing and trade chain; the NWFP

sub-sector is not organized and an institutional infrastructure needed for proper management of NWFP is lacking; 

a comprehensive inventory of the existing NWFP is not

available; and there is a lack of trained personnel and 

funding.

A methodology for improved statistical data collection

and analysis was elaborated and included the following

major elements: identify and agree upon a lead institution

to coordinate NWFP related work; identify the kind of data

needed and points of data collection; elaborate and maintain a NWFP-related database linked to relevant existing

databases on production and trade in the country; develop

data collection standardized forms; develop identification

guides on species which provide NWFP for use by i.a. custom officials; and training of concerned staff and stakeholders.

The main objective of the Cameroon study was to

review available information on NWFP and to propose an

appropriate methodology to improve the quality and quantity of statistical data on NWFP for Cameroon. Preliminary

results of the study were presented and discussed in two

workshops held in Yaoundé, Cameroon in March and

November 2001.

The study shows that various methodologies are already 

in place in order to assess the production and commercialization of NWFP in Cameroon, including single-product

108
inventories, qualitative resource inventories, systematic

samples and market studies. Taking into account the current

use of NWFP in Cameroon, the study identifies ten priority

species, for which an improved monitoring and evaluation

of their use is recommended: Gnetum spp, Garcinia lucida,

G.kola, Raphia spp., rattan (e.g. Laccosperma secundiflorum), Prunus africana, Pausinystalia johimbe, Baillonella

toxisperma, Guibourtia tessmannii and Scorodophleus

zenkeri.

The study proposes a methodology that monitors NWFP

from the resource to the final consumer in order to assess

key information on: (1) geographical distribution; (2) potential production; (3) actual production (collected quantities);

(4) national consumption; (5) trade; and (6) social aspects,

such as contribution to employment.

The proposed methodology was tested for the leaves 

of Gnetum spp. Field tests were carried out in Elig-Nkouma

(South Cameroon), the port of Idenau and the international

airport of Yaoundé. These tests showed that: (1) in EligNkouma 4.15 t of Gnetum spp. were produced, which corresponds to 0.85% of the national production (488.57 t)

during the 6 weeks of the field test; (2) more than 90% of

the national production (446.57 t) was exported to Nigeria

and Europe; and (3) the consumption in the cities of

Yaoundé and Douala was 22.3 t, which corresponds to 4.6%

of the total production. The test also documented ecological

problems related to the harvesting techniques applied and

highlighted the socio-economic importance of the consumption and commerce of Gnetum spp. in Cameroon.

The study concluded that in order to improve the quality

of statistical data on NWFP in Cameroon, it is recommended

to (1) harmonize and co-ordinate the NWFP activities of the

stakeholders concerned by taking into consideration their

objectives, activities, methodologies applied, etc.; and (2)

share and distribute the information already available, for

example through the establishment of a national database

by a governmental agency.

A key issue emerging from implementing all above

mentioned activities showed that the best available NWFP

statistics so far, are those on NWFP which are internationally traded. However, also for this group, the above assessment studies revealed that a lot of work still needs to be

done, particularly regarding their appropriate classification

and corresponding product coding. Products traded internationally are classified by custom agencies according to

the harmonized commodity description and coding system,

generally referred to as “harmonized system” or simply “HS”.

It is a multipurpose international product nomenclature

developed by the World Customs Organization 

(WCO- www.wcoomd.org/ie/index.html). It comprises

about 5,000 commodity groups; each identified by a sixdigit code, arranged in a legal and logical structure and is

supported by well-defined rules to achieve uniform classification. The system is used by more than 177 countries

and economies as a basis for their Customs tariffs and for

the collection of international trade statistics. Over 98% of

the merchandise in international trade is classified in terms

of the HS. Only commodities entering external merchandise trade are included.

For those NWFP, which have a specific HS code, trade

statistics can be easily compiled from international trade

databases such as Comtrade. For example the HS code

used by custom agencies world-wide to “classify” plaiting

materials made of bamboo is 1401.10. However, many

internationally traded NWFP, like bamboo shoots for

example, do not have a specific HS code. 

In this regard, the FAO NWFP Programme and the

International Network for Bamboo and Rattan (INBAR),

with the support of custom agencies of key producer countries such as China, have developed a proposal for amendments to the HS codes for major bamboo and rattan products,

through an international expert meeting held in Rome, 2002.

A set of new HS codes covering 17 different bamboo and

rattan products were identified, reviewed and endorsed at

the meeting, and will be submitted to the WCO Review

Subcommittee Meeting of September 2003.

Bamboo and Rattan products are the ‘flagships’ of NWFP,

and it is hoped that the lessons learned on identifying and

implementing new HS trade codes for bamboo and rattan

products can be expanded to other major groups of NWFP

such as medicinal plants, forest gathered wild vegetables,

wild mushrooms, fruits and nuts.

CONCLUSIONS

Many lessons have been learned during the compilation

of the global assessment on NWFP production and trade

data under the EC–FAO Partnership programme. Among

the most important ones is the fact that NWFP are still a

major source of food and income in many countries of the

world, but few countries do monitor their NWFP systematically. Statistical data on NWFP are incomplete, scattered 

or not comparable among countries. 

However, monitoring of the resources and evaluation 

of the economic value of the products for the entire variety

of NWFP in a given country is neither feasible nor desirable.

A phased approach is suggested by addressing first those

NWFP which are of national relevance and for which

109
monitoring and evaluation is needed for policy and

forest/rural development decision-makers. Exported or

widely used products in national markets should be

addressed first in contrast to NWFP of minor importance or

significance limited to a selected region. The selection of

relevant NWFP should help the country initially to focus

their efforts to improved data collection.

Countries can, with the support from FAO and other

appropriate international organizations, make NWFP more

visible in their existing national production and trade statistical systems by including specific product codes for major

NWFP into their existing national product classifications,

with the aim to include them into international statistical

classifications in the future, such as the HS.

LITERATURE CITED

Chandrasekharan, C. 1995. Terminology, definition and 

classification of forest products other than wood. In:

Report of the international expert consultation on nonwood forest products. Yogyakarta, Indonesia 17-25

January 1995. FAO NWFP Series No. 3. Rome, Italy:

FAO. 345–380. 

FAO. 1999. Towards a harmonized definition of non-wood 

forest products. Unasylva. 50(198): 63–64. 

FAO. 2001. Global forest resources assessment 2000, main 

report. FAO Forestry Paper nr. 140. Rome, Italy: FAO.

479 p. http://www.fao.org/forestry/foris/webview/

forestry2/index.jsp?geoId=0&langId=1&siteId=2921

FAO. 2002a. Non-wood forest products in 15 countries of 

tropical Asia: an overview. Bangkok: FAO. 188 p.

FAO. 2002b. Informacion sobre productos forestales no 

madereros y arboles fuera del bosque en America

Latina. Caracas, Venezuela, 6–9 agosto, 2001. Santiago,

Chili: FAO-EU. 95 p.

International Tropical Timber Organization (ITTO). 

1998. Non-wood tropical forest products: processing,

collection and trade. ITTO project PD 143/91 vers 2(1).

Executive summary of the technical report.

Mbolo, M. 2002. La collecte et l’analyse des données 

statistiques sur les produits forestiers non ligneux une

étude pilote au Cameroun. FAO. 137 p.

Rahan-Chin, C. 2002. Data collection and analysis related 

to non-wood forest products, a pilot study in Suriname.

Rome, Italy: FAO. 47 p.

Sabra, A.; Walter, S. 2001. Non-wood forest products in 

the Near East: a regional and national overview. Rome,

Italy: FAO. 120 p. 

Walter, S. 2001. Non-wood forest products in Africa: a 

regional and national overview. Rome, Italy: FAO. 303 p.

UNECE/FAO. 2000. Forest resources of Europe, CIS, 

North America, Australia, Japan and New

Zealand–Main report. Geneva.

110
1 Forestry Officer, U.N.F.A.O., Forestry Department, Wood and Non-Wood Products Utilization Branch, Viale delle Terme di Caracalla, 00100 Rome, Italy. 2 Forestry Officer, U.N.F.A.O., Wood and Non-Wood Products Utilization Branch.

3 Director, Forest Products Division, U.N.F.A.O.

4 “NWFP consist of goods of biological origin other than wood derived from forests, other wooded land and trees outside forests” (FAO, 1999).

Proceedings from IUFRO Division 5, Research Groups 5.11 and 5.12, number 18

BENEFIT SHARING ARRANGEMENTS IN THE 

FIELD OF NON-WOOD FOREST PRODUCTS: STATUS

AND LINKS TO CERTIFICATION

Sven Walter1, Paul Vantomme2, Wulf Killmann3, and François Ndeckere2

INTRODUCTION

A multitude of non-wood forest products (NWFP4) are

derived from forests and used by local communities in developing countries for subsistence and income generation.

Income-generating activities consist mainly of the collection and sale of unprocessed NWFP such as medicinal plants,

fruits, gums, resins and honey. The benefits local populations receive from the trade in these products are often

considered inadequate compared to the benefits received

by other stakeholders.

This paper describes benefit-sharing arrangements (BSA)

in the field of NWFP and discusses linkages with certification initiatives which might be potential tools to promote

equal benefit-sharing.

BASIC DEFINITIONS

Benefit-sharing

Benefit-sharing arrangements have been proposed and

established in order to promote and ensure the “fair and

equitable sharing of the benefits” arising out of the use of

ABSTRACT

For agricultural and timber products, benefit-sharing arrangements (BSA) and certification schemes have been established in order to monitor and evaluate the ecologically friendly, economically viable and/or socially equitable use of these

products. BSAs have been developed regarding species with medical properties in the areas of bioprospecting and trade.

Other non-wood forest products (NWFP) covered by BSA include cosmetics, animal products and exudates (gum arabic).

Key certification schemes relevant for NWFP are forest management certification, social certification, organic certification

and product quality certification. This paper describes BSA in the field of NWFP and discusses linkages between BSA and

certification as potential tools for the promotion of improved benefit-sharing.

KEY WORDS: Non-wood forest products (NWFP), certification, sustainable forest management, organic products, product

quality, benefit-sharing.

111

natural resources (see article 1 of the Convention on

Biological Diversity, CBD). These arrangements aim to

balance the interests of various key stakeholders in the

trade in NWFP and other forest products. Stakeholders

include local communities, small or large-scale private

sector enterprises, consumers, governmental bodies and

non-profit intermediaries (see fig. 1).

The benefits obtained through such arrangements can

be monetary and non-monetary, shared in the short, medium and long-term and should be mutually agreed upon by

the stakeholders concerned (table 1). Benefit-sharing agreements are mainly made among a provider, recipient and

intermediaries of genetic material and may be applied during the identification, development and commercialisation

of a product (Ten Kate and Laird 1999).

The concept of benefit-sharing is being applied to the

trade in various forest products, such as NWFP, wood products and forest services. The mechanisms used to implement

BSA include trust funds, ethical trade agreements, certification, charitable donations, taxes and producer-trader
partnerships. In the forestry sector, the issue of benefitsharing is partly addressed through collaborative approaches

to forest management such as community forestry, social

forestry, and joint forest management. It is also addressed

through the establishment of Forest User Groups (e.g. Nepal)

or Share Holding Integrated Forest Tenure (e.g. in China)

(FAO, forthcoming; Rechlin et al. 2002).

Certification

Certification is a procedure in which written assurance

is given that a product, process or service is in conformity

with certain standards (International Organization for

Standardization/International Electrotechnical Commission

1996).

Although different definitions and categories of certification exist, the main types of certification schemes distinguish between first, second and third party certification as

well as between system-based and performance-based certification schemes (table 2). Many, but not all, certification

systems provide labels for certified products or services. A

certification label or symbol indicates “that a product, process

or service has been certified against a certain standard”

(Dankers 2002).

While certification schemes have mainly been developed

for timber and agricultural products, they are becoming

more relevant for the use of NWFP. Depending on their

basic concepts, certification schemes such as forest management certification programmes, social certification systems,

organic agriculture and product quality certification, focus

on different areas such as production, trade, marketing,

processing and manufacturing (for further details, see

Walter 2002a, 2002b).

Forest management certification programmes, including

chain-of-custody certification, mainly assess the ecological

aspects of resource management, both at the forest and the

species or product level. Many different programmes exist

on the international, regional and national level, which

focus almost exclusively on timber products and include

NWFP only marginally.

Social certification systems, such as fair and ethical trade,

assure that labour conditions are acceptable and benefits

are equally shared among those involved in production and

trade. Such trade initiatives foster business partnerships

and management supply chains, which include secure and

fair commercial deals and support the provision of market

information (Kruedener 2000). Important criteria focusing

on social issues include: (1) tenure and customary rights;

(2) fair returns and adequate benefits; (3) safe and healthy

working environment; (4) impact on local/indigenous communities; (5) economic viability; (6) absence of child labour;

and (7) ethical marketing (Mallet 2000; Burns and

Blowfield, no date).

“Organic agriculture is a holistic production management system which promotes and enhances agroecosystem

health, including biodiversity, biological cycles, and soil

biological activity...” (FAO/WHO 1999a). Wild gathered

and semi-domesticated NWFP can also be considered

organic and many NWFP such as pine nuts, mushrooms

and herbs are increasingly commercialized as organic food

products.

Product quality certification aims at ensuring that defined

production standards have been taken into consideration.

These standards can focus on the product itself as well as

112

Figure 1—Main stakeholders involved in benefit-sharing arrangements.
113

Table 1—Examples of monetary and non-monetary benefits for developing countries

Monetary benefits Non-monetary benefits

• “Up-front” payments • Contributions to local economy and at the village level, e.g. 

• Milestone payments livelihood improvement such as infrastructure and food security

• Royalties • Community empowerment through improved negotiation 

• Research funding capacities

• License fees • Strengthened capacity of local populations in the sustainable 

• Salaries use of natural/genetic resources

• Equity and profit-sharing • Exchange of staff and training

opportunities • Capacity building and transfer of technology 

• Higher sale price of products • Sharing of research results

• Increased scientific capacities, e.g. through support to research

activities

Source: United Nations Environment Programme/Convention on Biological Diversity (2000), Ten Kate and Laird (1999),

FAO (2000a)

The search for commercially valuable biochemical and

genetic resources from plants, animals and microorganisms–so called bioprospecting–is carried out in two different ways in order to develop new drugs:

• Random screening of chemicals found in nature; and

• Selective screening of chemicals based on traditional

knowledge of the medical application of organisms,

especially medicinal plants. Ethnobotanical screening,

mainly carried out by small companies and academic

institutions, is designed to save time and money and

is “...5,000 times more effective than random collection” (Rural Advancement Foundation International

1994, Rosenthal 1998).

One third of all plant-derived prescription drugs with

known anti-tumour properties come from rainforest species

(Anonymous, no date). However, most of the commercial

benefits of the trade in genetic and biochemical resources

found in developing countries are realized in developed

countries. Pharmaceutical products based on traditional

medicine have probably returned less than 0.001 percent of

their profits to the local communities who originally used

these resources (Posey 1990, quoted by Guérin-McManus,

no date). The annual world market of medicines derived

from plants originally used by indigenous people (e.g.

Rauwolfia serpentina, Cinchona sp., Atropa belladonna) 

is estimated at US$43 billion (idem).

In order to assure that (1) the provider(s) of genetic

resources and/or traditional knowledge receive adequate

property rights and (2) the share of benefits be equally distributed among all stakeholders, including men and women

in local communities, national states and private companies,

BSA related to the identification of new drugs were developed.

on the way it is processed and manufactured. Product quality parameters include product identity, purity, efficiency

and safety. These parameters are relevant for a wide range

of internationally traded NWFP mainly used in the food

and pharmaceutical industry. One example of international

commodity and general standards relevant for the food

industry is the Codex Alimentarius, which aims at developing and disseminating international food standards to protect consumer health and to facilitate international fair

trading practices regarding foods (FAO/WHO 1999b;

Health Canada, no date).

BENEFIT-SHARING IN THE 

CONTEXT OF NWFP

The documentation of different BSA by Ten Kate and

Laird (1999), FAO (2000a), and CBD (2002), shows that

arrangements in the field of NWFP cover both the identification of new products and the actual trade in NWFP. 

The identification and development of new products is

best documented for bioprospecting activities carried out

by the pharmaceutical industry (table 3). BSA directly

related to the international trade in NWFP are documented

for a wide variety of products such as medicinal plants,

cosmetics, exudates, edible products and wildlife-based

products. 

Identification and Development of New Products

Research in the identification of new, nature-based products is carried out by various industrial sectors. However,

most documented cases of BSA are related to the pharmaceutical industry. This is mainly because, compared to others, the pharmaceutical sector requires greater investments

of time and money.
114

Table 2—Basic principles of certification systems

Certification principles Definition Examples

First party verification Internal assessment of production systems and practices. Sustainable Forestry Initiative 

(SFI), business ethics standards, 

company standards, (e.g. Weleda, Wala), codes of practice, codes 

of conduct (e.g. Body Shop)

Second party verification Assessment of a second party (e.g. customer or trade EU Regulation 2092/91

associations), who assess the company according to 

contractual obligations.

Third party verification Independent assessment of a separate accredited Forest Stewardship Council 

third party. (FSC), International Federation 

of Organic Agriculture 

Movements (IFOAM)

Standards “Documented agreements containing technical specifi- Standards by various accredcations or other precise criteria to be used consistently as itation and certification bodies.

rules, guidelines or definitions of characteristics, to ensure

that materials, products, processes and services are fit for

their purposes” (International Organization for 

Standardization 1996). 

System-based standards Focus on the process and evaluate whether specific Environmental management 

systems are in place which allow organizations and/or systems International 

producers to achieve their (performance) objectives. Organization for Standardization 

(ISO) 14001/14004, Social 

Accountability 8000, SFIa, Pan 

European Forest Certification 

Scheme (PEFC)b, Canadian 

Standards Association (CSA)a

Performance-based Focus on the outcome, the quality of goods and/or services, FSC, Rainforest Alliance/

standards which should be in accordance to defined standards. SmartWood, IMAFLORA, CFV, 

ERA, WWFMedPO

Source: Carey (2000), Costa and Ibanez (2000); Maas and Ros-Tonen (2000), Fern (2001), Dankers (2002), Blowfield (no date), Sierra Club (no date),

Temple-Inland Forest (no date).

a SFI, PEFC and CSA are mainly system-based certification schemes, which include some performance-based standards (Fern 2001).

b PEFC is mainly based on the Pan-European forest process on criteria and indicators for sustainable forest management (Fern 2001). Major inter-governmental processes or initiatives on criteria and indicators for sustainable forest management, covering some 150 countries, are documented by FAO (2001).

Recently, vast experience has been gained in BSA related

to bioprospecting through the work of the International

Cooperative Biodiversity Group (ICBG) which undertook

eight projects in tropical countries (Rosenthal 1998). 

A key component of many bioprospecting projects is

the establishment of trust funds, which aim at facilitating

the distribution of monetary benefits while avoiding the

problems related to direct cash payments (United Nations

Environment Programme/Convention on Biological Diversity

2000). In the case of the Suriname ICBG bioprospecting

project, a Forest People's Fund was set up in 1994 with a

US$50,000 contribution from an American pharmaceutical

company, followed by another US$10,000 “up-front” payment in 1996. The fund was intended to compensate communities for their ethnobotanical contributions to the project

and aimed at creating conservation incentives, financing

sustainable management projects, providing research and

training exchanges and supporting other socially and environmentally sound projects (Guérin-Mc Manus et al., no

date).

Although trust funds are intended to be a useful mechanism for the distribution of monetary benefits, the following questions need to be considered when planning their

design:
• How can a fair and equal distribution of monetary benefits be ensured?

• Which mechanisms are most appropriate to facilitate the

distribution of monetary benefits?

• Who should be the principle beneficiaries: those individuals or groups who actively participated in the BSA, or

everyone in the village (or region or country)?

• How are local communities defined–geographically, ethnically or politically?

• What are the most relevant non-monetary benefits and

how are they taken into account?

TRADE IN NWFP

BSA directly related to the trade in NWFP cover a wide

range of sectors, including the pharmaceutical, botanical

medicine, personal care and cosmetics, and food industry

sectors. However, the supply channels for raw materials are

similar and wholesalers, including exporters, traders, brokers and agents, sell to a range of different industries (Ten

Kate and Laird 1999). Examples of BSA related to trade in

medicinal plants, cosmetics and the wildlife industry are

described below.

Medicinal Plants

Although sound statistics on trade in medicinal plants

do not exist, it is estimated between 2,500 (Schippmann et

al. 2002) and 6,000 (TRAFFIC 1993) medicinal plants are

currently traded world-wide. CBD (2002) and Ten Kate

and Laird (1999) document BSA for the trade in Trichopus

zeylanicus (India), Ancistrocladus korupensis (Cameroon),

Prunus africana (Cameroon), Calophyllum lanigerum

(Malaysia), Taxus brevifolia (USA), Piper methysticum

(Pacific Islands), Panax vietnamensis (Vietnam) and

Pilocarpus jaborandi (Brazil). In at least three cases, 

these BSA failed:

• Ansistrucalduc korupensis—the U.S. National Cancer

Institute stopped conducting research and development

when the toxicity of the active substance they were

interested in, michellamine B, was discovered (Laird

and Lisigne 1998);

• Prunus Africana—the main exporter annulled an

agreement with governmental organizations and local

harvester groups due to a disagreement with governmental organizations, which limited the maximum

annual sustainable quota to 300 t of bark (FAO

2000a);

115

Table 3—Key characteristics of pharmaceutical, botanical medicine and cosmetic industry

Pharmaceutical Botanical medicine Natural personal care 

industry industry and cosmetic industry

Definition Industry involved in the Industry dealing with Segment of the personal 

discovery and development botanicals, produced care and cosmetic 

of new drugs (natural, semi- directly from whole industry, which includes 

synthetic, synthetic)a plant material. botanical ingredients in 

their productsb

Years to develop new 10–15+ <2–5 <2–5

products

Costs to develop new 231–500 0.15–7 0.15–7

products (million US$)

Annual global sales 300 40 n/a

(billion US$)

Share natural products/all 25–50 100 n/a

products of global market 

(in %)

Market for natural products 75–150 20–40 2–8

(billion US$)

Source: Ten Kate and Laird (1999)

Explication: n/a = Information not available

a 41% of the top 150 prescription drugs in the United States contain at least one active compound derived from animal or plant genetic

resources (Ten Kate and Laird 1999).

b The natural segment of this industry is estimated to 10% of the total sales (Ten Kate and Laird 1999). 
• Pilocarpus jaborandi— promised benefits by the

exporter such as steady income, roads, schools and

clinics never materialized. In addition, many of the

25,000 collectors of wild gathered jaborandi leaves

might lose an important source of income if plantations are established (Ten Kate and Laird 1999).

One major mechanism to facilitate the proper disbursement of monetary benefits used by most of the BSA in the

field of medicinal plants is trust funds (also see above).

Harvesters of Prunus africana bark in Cameroon, for example,

who were organized in a Prunus Harvesters Union, paid a part

of their income (equivalent to 2 kg of bark) to the Village

Development Fund. Five months after the fund was set

up, some US$1,500 had been generated. This money was

intended to be used by the village for a long-awaited water

project (FAO 2000a).

Cosmetics

The main monetary benefits provided by the natural

segment of the personal health care and cosmetic industry

are derived from charitable donations as well as guaranteed

markets and higher prices paid for raw materials. The main

mechanisms available to secure market access and improve

prices are raw material sourcing partnerships. 

One example of such a partnership involves The Body

Shop (Ten Kate and Laird (1999), which established some

25 trade partnerships (e.g. in Brazil, Ghana, Nicaragua,

United States) with local communities in 1997. Criteria for

these partnerships included:

• Working with community organizations that already

exist to represent the interests of the social group

concerned;

• Working with groups with limited access to

resources, education, healthcare, and other outlets

for their goods;

• Trade must benefit the producers, so benefits must 

be redistributed throughout the community in ways

that promote development;

• The partnership must be commercially viable–price,

quality, capacity, and accessibility must be carefully

considered; and

• The activity must meet Body Shop standards for 

environmental and animal protection.

Wildlife Industry

One example of BSA in the wildlife sector is

Zimbabwe’s Communal Areas Management Programme for

Indigenous Resources (CAMPFIRE). In Zimbabwe it was

recognized that wildlife resources would only be conserved

if private and communal landowners derived economic

benefit from their protection and were given responsibility

for conservation and management. CAMPFIRE aims at

providing a structure to ensure the sustainable use of these

resources.

The programme aims at improving local income by

returning benefits from wildlife activities such as safari

hunting, game cropping, tourism, and live animal sales, to

local communities. In addition, CAMPFIRE contributes to

the improvement of infrastructure, capacity building and

future security of local communities (World Bank, no

date; CAMPFIRE, no date). 

Regarding monetary benefits, CAMPFIRE aims at:

• Returning money to producer communities derived

from natural resource use;

• Providing the communities with the full choice of

how to use this money;

• Ensuring a participatory, transparent, accountable 

and democratic process of distribution of monetary

benefits (Child 1996).

Child (1996) concludes that, as a result of this approach,

“CAMPFIRE has benefited local communities and councils

with up to 70,000 households and 80 wards [villages] getting direct benefits”.

CERTIFICATION SYSTEMS–TOOLS TO

PROMOTE THE ADEQUATE SHARE OF

BENEFITS?

Comparing the main objectives of BSA with certification schemes (fig. 2), the closest links exist between BSA

and social certification systems, since both focus on the

equal sharing of benefits among stakeholders related to the

commercialization of products.

BSA are contractual arrangements among stakeholders

and do not normally involve an independent “third” party.

Therefore, they correspond to first or second party certification systems where the arrangement could be considered

a guiding principle or standard. The Swiss draft guidelines

on access and benefit-sharing point out that “stakeholders

are encouraged to collaborate in creating a system of certification...which would confirm the abidance to the guidelines by the stakeholders being certified. When creating

this system of certification, the involved stakeholders are

encouraged to consider the suitability of any existing institution or mechanism already involved in certification and

standardisation” (Swiss State Secretariat for Economic

Affairs 1999: 7/12).

116
Lessons could also be drawn from an in-depth analysis

of the complementarities of the certification and benefitsharing approaches, taking into account that the principles

of the CBD might enhance certification programmes, while

standard setting and verification might strengthen BSA.

Other certification schemes, such as forest management,

organic and product quality certification, do not focus on

benefit-sharing as such, but provide additional benefits as

mentioned in table 1. 

Forest management certification schemes and criteria

and indicators for sustainable forest management include

social standards to various degrees. Examples include

FSC’s principles 2 (tenure and use rights responsibilities),

3 (indigenous people’s rights), 4 (well-being of forest

workers and local communities) and 5 (benefits from the

forest) and criterion 6 (other social benefits) of the PanEuropean Forest Process on Criteria and Indicators for

Sustainable Forest Management, which defines the minimum criteria to be used in European schemes applying to

the PEFC (FAO 2001, FSC 2002, PEFC 2002).

The application of these standards indirectly contributes to

the improvement of benefits for local producers since they:

• Provide binding and verifiable agreements between

key actors;

• Strengthen or clarify user rights;

• Provide value-addition and market premium prices

for certified products;

• Empower normally disadvantaged stakeholders, 

especially local communities;

• Act as a catalyst of social reform processes through

stakeholder participation and consultation;

• Provide market niches for specific products or 

services;

• Encourage the establishment of collaborative partnerships and/or global alliances between producers and

consumers for the responsible use of forest resources

(FAO 2000b, Kruedener 2000, Gesellschaft fuer

Technische Zusammenarbeit 2002). 

However, forest certification might also cause disadvantages for producers and other stakeholders. These disadvantages include high financial and managerial costs and

reduced short-term revenue due to lower output volumes

(FAO 2000b). In order to prevent additional possible disadvantages, rural development programmes must compliment

certification initiatives in order to provide community

leverage or reinforcement of existing tenure agreements

(Meek 2001).

ISSUES AND PERSPECTIVES5

Both certification and benefit-sharing are potential tools

to promote the sustainable use of NWFP and reduce the

117

Figure 2—Commonalties and differences between social certification systems and BSA.

5 Derived from Walter (2002a).
negative effects of international trade in NWFP on the

resource system. However, an in-depth analysis is still

required in order to identify the key factors leading to either

the success or failure of the application of these tools. Crucial

issues which should be taken into consideration when

analysing BSA and certification systems include:

• Which certification programmes or BSA exist and

under what conditions are they most suitable and 

for whom?

• Which mechanisms are most appropriate to facilitate

the distribution of monetary benefits? Who should 

be the principal beneficiaries? How should they be

organized?

• How relevant are these mechanisms in the promotion

of the sustainable use of NWFP, taking into account

that they are only applied for selected species and

specific locations? 

• What are the impacts of certification and benefitsharing as policy tools that provide a multitude of

non-monetary benefits such as improved capacity,

stakeholder participation and consultation, and the

recognition of custom, tenure and user rights?

• How do certification and benefit-sharing mechanisms

actually contribute to poverty alleviation? Will they

remain tools providing benefits to a limited number

of people or will these mechanisms contribute to the

improvement of local livelihoods on a larger scale?

• Are certification and benefit-sharing mechanisms 

able to promote the production of NWFP by forest

dependent people as opposed to the production of

these products through farming? (This is particularly

so for medicinal plants, where “competition” between

farmed and wild gathered products is high.)

• What is the potential of certification and benefitsharing as market tools? For which products, 

certified or produced in the context of BSA, does 

a market actually exist that allows the payment of 

a premium price?

• How do the additional costs that result from certification and benefit-sharing influence the application of

these mechanisms?

• How applicable are certification and benefit-sharing

mechanisms for rural areas and dispersed people?

• How applicable and effective are certification and

benefit-sharing mechanisms as tools for the improved

traceability of supply chains?

• What methods can be applied in order to define 

sustainable harvesting levels, taking into account the

lack of ecological information on many species providing NWFP? Do species-specific standards sufficiently avoid negative ecological effects on the entire

production system?

• Can certification programmes be used as voluntary

control tools to monitor and evaluate the compliance

with laws and regulations such as the Convention on

International Trade in Endangered Species of Wild

Fauna and Flora (CITES)? For example, CITES

requests that trade in appendix II species, which risk

becoming threatened with extinction, be closely controlled so as not to be detrimental to the survival of

the species (CITES 2002). This control could be 

provided by certification systems.

These and many more issues have to be clarified in

order to assess the relevance and applicability of certification and benefit-sharing as tools for the sustainable use 

of NWFP.

The FAO NWFP Programme, in collaboration with

other programmes, organizations and agencies, aims at

contributing to this assessment by:

• Collecting, analysing and disseminating information

on (1) relevant stakeholders involved in certification

and benefit-sharing (e.g. private sector, governmental

and non-governmental organizations) as well as (2)

existing certification and benefit-sharing mechanisms

for NWFP (e.g. labelling systems); and

• Implementing case studies which aim at assessing 

the impact of certification and benefit-sharing on the

sustainable use of selected NWFP.

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120
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