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2016

STATE OF
THE WORLDS
FORESTS

FORESTS AND
AGRICULTURE: LAND-USE
CHALLENGES AND
OPPORTUNITIES
COVER PHOTO FAO/Adi Wiratmo

INDONESIA. Terraced rice fields on the island of Bali. In order to make the most of the land
and prevent erosion, this terracing system maintains the ecosystem while providing a livelihood for local farmers.
Recommended citation:
FAO. 2016. State of the Worlds Forests 2016.
Forests and agriculture: land-use challenges and opportunities. Rome.

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FAO 2016
ISSN 1020-5705

2016
STATE OF THE
WORLDS
FORESTS FORESTS AND
AGRICULTURE: LAND-USE
CHALLENGES AND
OPPORTUNITIES

Food and Agriculture Organization of the United Nations


Rome, 2016
CONTENTS
FOREWORD vi CHAPTER 4
ACKNOWLEDGEMENTS viii MAKING ROOM FOR FORESTS
ACRONYMS AND ABBREVIATIONS ix AND FOOD SECURITY 51
EXECUTIVE SUMMARY x Key messages 52
KEY MESSAGES xiv 4.1Reducing deforestation and improving
agriculture and food security 54
CHAPTER 1 4.2Country case studies 56
4.3Common themes and lessons learned:
INTRODUCTION 1
how to improve food security and increase
agricultural production without reducing
CHAPTER 2 the forest area 79
TRENDS IN LAND-USE CHANGE 7
Key messages 8 CHAPTER 5
2.1Introduction 10
TOWARDS BETTER GOVERNANCE
2.2A global history of forest conversion 10
OF LAND USE FOR FORESTS
2.3Twenty-first century land-use change dynamics 12
2.4Drivers of conversion from forest to agriculture 17
AND AGRICULTURE 87

2.5Drivers of conversion from agricultural 5.1Key conclusions 88


land to forest 22 5.2Policy implications 91

CHAPTER 3 ANNEX
THE GOVERNANCE AND DEFINITIONS AND METHODOLOGY 95
MANAGEMENT OF Definitions 96
LAND-USE CHANGE 25 Methodology 98
Key messages 26
3.1Introduction 28 REFERENCES 104
3.2Policies for governing land-use change
between forest and agriculture 29
3.3Legal frameworks for land-use change
from forest to agriculture: complexities
and challenges 35
3.4Investments in agriculture and forests
and their impacts on land use 39
3.5Institutional mechanisms for governing
land-use change 45

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NOTES BORIA VOLOREIUM, SIT AUT QUIS DOLORITI CONECTUS, SEQUE

TABLES, FIGURES & BOXES


The proportion of undernourished people in the total population is the indicator known as prevalence of undernourishment (PoU). See Annexes 2
and 3 of this report for further details. Ecullentem facerrum quam, quatet occus acepro modit quibus autat laut omnihitias sitat.

TABLES 2.8 Net changes in agricultural 3.10 Total private forest


and forest area, by country/territory, plantation investment in
2.1 Countries with net gains in 20002010 18 developing countries, 2011 44
agricultural area and net losses in
2.9 Estimate of (A) proportion 3.11 Ministry with main
forest area, 20002010 16
of total area of land-use change responsibility for forest
3.1 Examples of coordination associated with various proximate policy, 2008 44
between sectors, as evident in drivers of deforestation, and (B)
A.1 Countries classified
sectoral policies 34 absolute net forest area change
according to dominant
associated with proximate drivers
3.2 Examples of reasons for climatic domain 100
of deforestation, by region,
allowing forest conversion and 20002010 21
related conditions 36 BOXES
2.10 Proportion of deforestation
3.3 Comparison of country attributed to various drivers in
capacities for forest area change 1.1 SDGs and targets that refer
seven South American countries, explicitly to agriculture and forests 5
monitoring with the quality of 19902005 21
reported data on drivers derived 3.1 Importance of law
from the REDD+ readiness reports 3.1 Percentage of 60 national enforcement in preventing illegal
of 45 countries 46 policy documents (from 27 forest conversion 38
countries) addressing land-use
4.1 Increases in forest area and change between forest and 3.2 Example of legal provisions
improvements in food security, agriculture, by policy type 30 on forest conversion, and
19902015 55 implementation challenges,
3.2 Factors contributing to forest in Papua New Guinea 38
A.1 Number of policy documents loss, as stated (single mention) in
analysed and contents of the forest policies of seven countries 3.3 Indonesias One Map
policy databases 102 exhibiting decreases in forest area initiative 46
A.2 Countries used for the and increases in agricultural area
3.4 Brazils Rural Environmental
analyses presented in figures in 20002010 30
Registry 46
3.13.5 103 3.3 Priorities listed in
4.1 Key factors contributing to
34 agriculture and forest policies
positive trends in food security
FIGURES in 18 countries 32
and forest cover in Chile 57
2.1 Land area by major land-use 3.4 Benefits of forests, as
4.2 Key factors contributing to
class, 2010 13 mentioned in agriculture policies
positive trends in food security
(ten countries) 32
and forest cover in Costa Rica 61
2.2 Net annual average change
in forest and agricultural land, by 3.5 Strategies for food
4.3 Key factors contributing to
climatic domain, 20002010 13 production in agriculture policies
positive trends in food security
(nine countries) 32
and forest cover in the Gambia 63
2.3 Net annual average forest
area change, by climatic domain 3.6 Changes in management
4.4 Key factors contributing to
(000 ha per year) 13 rights to publicly owned forests,
positive trends in food security
19902010 34
and forest cover in Georgia 67
2.4 Percentage of net forest change
3.7 Typical stages of a process
and rural population change, 4.5 Key factors contributing to
by climatic domain, 20002010 15 for declassifying a forest area
positive trends in food security
before permits for conversion
and forest cover in Ghana 69
2.5 Net annual average change may be allocated 36
in agricultural and forest area in 4.6 Key factors contributing to
countries grouped by income 3.8 Relationship between
positive trends in food security
15 investment in agriculture, change
category, 20002010 and forest cover in Tunisia 73
in forest area, and poverty 41
2.6 Net annual average change 4.7 Key factors contributing to
in agricultural and forest area in 3.9 Public expenditure on forests,
positive trends in food security
16 forest growth rates, and the forest
subregions, 20002010 and forest cover in Viet Nam 77
sectors contribution to national
2.7 Net annual average change gross domestic product 41 4.8 Integrated policy for forests,
in agricultural and forest area in food security and sustainable
subregions, 20002010 16 livelihoods lessons from the
Republic of Korea 78

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FOREWORD

State of the Worlds Forests 2016 could not be better However, agriculture is still the major driver of
timed, as FAO is gearing up to fulfil its key role deforestation globally, and agricultural, forestr y
in helping countries develop national plans, and land policies are often at odds.
policies and programmes to achieve the
Sustainable Development Goals (SDGs). The 2030 State of the Worlds Forests 2016 shows that
Agenda recognizes that we can no longer look at some countries have been able to reconcile
food, livelihoods and the management of natural the aspirations of the different sectors,
resources separately. It calls for a coherent and increasing the agricultural productivit y and
integrated approach to sustainabilit y across all food securit y of their populations while also
agricultural sectors and food systems. halting and even reversing deforestation. The
report presents case studies for seven such
This report explores the challenges and countries, and others have made similar
opportunities represented by the complex transitions. The challenge today is to
interrelationship between forests, agriculture encourage such positive trends in countries
and sustainable development. It demonstrates especially low-income countries in which
that the sustainable management of both food insecurit y is still rife and where forests
forests and agriculture, and their integration in are still being lost.
land-use plans, is essential for achieving the
SDGs, ensuring food securit y and tackling Integrated land-use planning provides an
climate change. essential strategic framework for balancing
land uses. Importantly, such planning
We know that forests and trees support processes must be participator y because
sustainable agriculture by, for example, it is farmers and other rural people who
stabilizing soils and climate, reg ulating water must ultimately put the plans into practice,
f lows, giving shade and shelter, and providing a and will do so only if they meet their needs
habitat for pollinators and the natural predators and interests.
of agricultural pests. When integrated judiciously
into agricultural landscapes, forests and trees can FAO strives to act as a neutral forum where
therefore increase agricultural productivit y. countries can access objective information
Forests and trees also help ensure the food and come together to discuss openly the
securit y of hundreds of millions of people, for options available for intensif y ing ag riculture
whom they are important sources of food, energ y sustainably. This report ser ves to inform that
and income, including in hard times. dialog ue. State of the Worlds Forests 2016

| vi |
makes several recommendations for Forests and agriculture have an enormous role in
approaches that countries can adopt, assisted achieving the 2030 Agendas historic commitment
by the international communit y, to better to rid the world of the twin scourges of povert y
integ rate forests and ag riculture while and hunger. However, this urgently requires
increasing food securit y and reducing forest closer collaboration and partnerships, cross-
loss. Inev itably, in some countries, forests sectorally and at all scales.
w illstill make way for ag ricultural
lands.However, if carried out in a planned, I trust that this report will encourage the forest
integ rated way, chang ing land use from and agriculture sectors, and other important
forests to ag riculture w ill be less damag ing to sectors such as energ y, water and rural
the env ironment and w ill produce better development, to work together for achieving the
economic and social outcomes. Sustainable Development Goals.

Jos Graziano da Silva


FAO Director-General

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ACKNOWLEDGEMENTS

State of the Worlds Forests 2016 was coordinated by E. Muller with substantial contributions from
J.Baumgartner (Chapter 3), I. Buttoud-Kouplevatskaya (Chapter 3), D. Henderson Howat (Chapters 1, 4 and 5),
T.Linhares-Juvenal (Chapter 3), K. MacDicken (Chapter 2), R. Mallett (Chapter 3), Rao Matta (Chapter 3),
S.Maulo (Chapter 2), O.Jonsson (Chapter 2), E. Rametsteiner (Chapter 3) and D. Reeb (Chapter 4).

Valuable input to Chapter 3 was provided by FAOs Food and Agriculture Policy Decision Analysis team
(FAPDA) and the Legal Office, in particular B. Kuemlangan, E. Sartoretto, A. Tomassi and A. Vatter Rubio.

The country case studies in Chapter 4 were prepared by J. Cabrera Perramon and H. Grosse (Chile);
R. de Camino Velozo, R. Villalobos and J.P. Morales Aymerich (Costa Rica); M. Jaiteh (the Gambia);
P.Torchinava (Georgia); E. Kuudaar (Ghana); H. Daly (Tunisia); and T.Q. Nguyen and H.Q. Luong (Viet Nam).

The publication also benefited from reviews and comments from many colleagues in other technical divisions
within FAO.

A. Sarre copy-edited the publication and S. Lapstun coordinated the production. The FAO Meeting
Programming and Documentation Service provided printing services and carried out the translations, with
feedback from N. Berrahmouni, Y. Chen, A. Hamid, V. Khristolyubova, A. Lebedys, Y. Li, D. Morales,
N.Picard, D. Reeb, and C. Sabogal, in addition to the contributors mentioned above.

The Publishing Group in FAOs Office for Corporate Communication provided editorial support, design
and layout for all six official languages.

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ACRONYMS
AND ABBREVIATIONS

CGF POU
Consumer Goods Forum prevalence of undernourishment
FAO PPCDAM
Food and Agriculture Organization of the United Action Plan for the Prevention and Control of
Nations Deforestation in the Legal Amazon (Brazil)
FAPDA PPP
Food and Agriculture Policy Decisions Analysis purchasing power parity
FLEGT REDD+
Forest Law Enforcement, Governance and Trade reducing emissions from deforestation and forest
[European Union initiative] degradation, including the role of conservation,
sustainable management of forests and enhancement of
GDP
forest carbon stocks
gross domestic product
SDG
GNI
Sustainable Development Goal
gross national income
SINAC
INDC
National System of Conservation Areas (Costa Rica)
Intended Nationally Determined Contribution
UN
INT$
United Nations
international dollar
UNCCD
NOU
United Nations Convention to Combat Desertification
number of people undernourished
UNFCCC
ODA
United Nations Framework Convention on Climate
official development assistance
Change
PES
US$
payments for environmental services
United States dollar

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EXECUTIVE SUMMARY

thousands of years and that forests have sometimes


re-established naturally as deforestation pressures
have eased. Deforestation was most prevalent in the
temperate climatic domain until the late nineteenth
century and is now greatest in the tropical climatic
domain. Net forest area has increased in the
CHAPTER 1 temperate domain in recent years, and there has
INTRODUCTION been relatively little recent change in forest area in
the boreal and subtropical climatic domains.
CHAPTER 1 highlights the importance of achieving
sustainable agriculture and food security, and of There was a net forest loss of 7 million hectares per
halting deforestation. These ambitions are integral to year in tropical countries in 20002010 and a net
2 of the 17 Sustainable Development Goals (SDGs) set gain in agricultural land of 6 million hectares per
out in Transforming our world: the 2030 Agenda for year. The greatest net loss of forests and net gain in
Sustainable Development, namely SDG 2 and SDG 15. agricultural land over the period was in the low-
In addition, forests have key roles to play in achieving income group of countries, where rural populations
other SDGs, such as those addressing poverty are growing. Large-scale commercial agriculture
eradication, protecting and restoring water-related accounts for about 40 percent of deforestation in the
ecosystems, access to sustainable energy, and tropics and subtropics, local subsistence agriculture
combating climate change. Action on agriculture, for 33 percent, infrastructure for 10 percent, urban
forests and other land uses will also be important for expansion for 10 percent and mining for 7 percent.
meeting the commitments made by countries in the There are significant regional variations, however:
Paris Agreement on climate change. for example, commercial agriculture accounts for
almost 70 percent of the deforestation in Latin
America but for only one-third in Africa, where
small-scale agriculture is a more significant driver
of deforestation.

Underlying factors affecting forest conversion


CHAPTER 2 include population growth and changing food
TRENDS IN consumption patterns; agricultural developments,
LAND-USE such as changing markets, technological
CHANGE improvements and active policy interventions;
land-tenure security; and the governance of land-
use change.
CHAPTER 2 analyses trends in land-use change,
focusing on the loss of forests through conversion to Forest losses in 20102015 (most of which was
agriculture and gains in forest area on land natural forest) were offset partially by a
previously used for agriculture. A brief historical combination of natural expansion, often on
review shows that the relationship between abandoned agricultural land (2.2 million hectares
population growth, increased demand for per year), and the establishment of planted forests
agricultural land, and forest loss dates back (3.1 million hectares per year).

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measures for crops and soils; carbon sequestration;
water-related benefits; and agroforestry.
CHAPTER 3 Despite acknowledging the importance of a
THE GOVERNANCE coordinated and consistent approach to land-use
AND policies, few of the assessed policy documents gave
MANAGEMENT details of how this was to be done, and only about
OF LAND-USE one-quarter showed clear evidence of coordination
CHANGE between agriculture- and forest-related interests.
Some policy documents, including on food security
CHAPTER 3 canvasses the ways in which countries and national development, presented good examples
address land-use change from forest to agriculture, of coordination measures.
and vice versa, for example in national policies,
legal frameworks, investments in agriculture and An analysis of legal frameworks showed the
forestry, and institutional mechanisms. De facto importance of formally recognizing traditional
rules often have a strong influence on policy rights based on customary tenure, especially for
outcomes, especially where formal policies fail to vulnerable and forest-dependent people. The
provide adequate guidance, are weakly analysis also provided information on legal
implemented, or do not conform with legitimate provisions for the conversion of forest to agriculture,
stakeholder needs. and implementation challenges.

An analysis of the national policies of 35 countries An examination of investments in agriculture and


revealed that just under half those countries explicitly forestry and their impacts on land use illuminated
addressed land-use change from forest to agriculture relationships between changes in forest cover,
and vice versa in their main policy documents. There investments in agriculture and forests, and poverty.
is an increasing need for countries to address land-use In general, forest losses are greater in low-income
change in national policies, including in light of recent countries when investments in agriculture and
international agreements such as the 2030 Agenda on forests are relatively low. Direct public investment is
Sustainable Development and the Paris Agreement on increasingly focused on environmental and social
climate change. protection programmes and other public goods
(such as research and development), and there is
The forest policies of seven countries that experienced increasing emphasis on creating enabling
decreases in forest area and increases in agricultural environments for private-sector investment. Social
area in the period 19902015 attributed those changes and environmental safeguards should be in place in
to: agricultural pressures, including shifting any scheme aiming to incentivize investments.
cultivation, encroachment, land grabbing and
livestock grazing; exploitation for forest products, The analysis demonstrated the importance of
including woodfuel; and social factors, including integrated land-use planning and participatory
population growth, poverty, and the development of approaches using tools such as land capability
human settlements and industry. In those agriculture assessments and taking the views of stakeholders
policies that referred to forests, the most frequently fully into account. The institutional framework
cited forest benefits were the use of non-wood forest should include civil-society and private-sector
products for food and animal feed; protective organizations, as well as government bodies. Such

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EXECUTIVE SUMMARY

inclusion helps legitimize national policies, improve and food insecurity and the importance of
the governance and management of land-use including poverty eradication and the reduction of
change, and stimulate partnerships that increase the inequality as key national economic policy
effectiveness of implementation. objectives. A number of case studies demonstrate
the value of a balanced approach to the
agriculture and forest sectors when developing
policies and policy instruments aimed at
achieving positive developments in the forest
sector while also improving food security and
agricultural productivity. They suggest that the
CHAPTER 4 development of market-oriented and open
MAKING ROOM agricultural economies should feature
FOR FORESTS AND complementary social and environmental
FOOD SECURITY safeguards, for example to protect vulnerable
households from the impacts of global market
fluctuations and to prevent environmental
CHAPTER 4 presents case studies from seven damage from more intensive agricultural
countries Chile, Costa Rica, the Gambia, Georgia, production. Case-study countries have recognized
Ghana, Tunisia and Viet Nam that demonstrate the full economic, social and environmental
the opportunities for improving food security while benefits of forests, including their contributions to
increasing or maintaining forest cover. All case- wider sustainable development, poverty reduction
study countries except one achieved positive change and climate-change programmes.
in the period 19902015 in two food-security
indicators the prevalence of undernourishment The case studies demonstrate the importance of
and the number of undernourished people as well using the right policy instruments to increase
as increases in forest area. They were also chosen to agricultural productivity and promote sustainable
provide examples from different regions and income forest management; case-study countries have
levels. Following relaxation of the original selection used various fiscal measures such as incentives
criteria, the sample included one low-income and tax breaks and regulatory tools to achieve
country (the Gambia). this. All the case studies showed the need for
effective legal and institutional frameworks, with
In each case study, information is presented on the predictable and secure land tenure and measures
economic and demographic context; trends in food to regulate land-use change, including
security, agriculture and forest condition; the policy, requirements for environmental impact
legal and institutional frameworks; and key factors assessments and special protection for designated
contributing to positive trends in food security and areas. They also showed the importance of
forest area. adequate funding through public-sector
investment in the agriculture sector, the forest
All the case-study countries have experienced sector and wider rural development programmes.
favourable economic growth, in some cases Funding sources identified in the case studies
associated with structural economic reforms. Most included government budgets, payments for
case studies demonstrated links between poverty environmental services (PES) mechanisms, the

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sale of products from publicly owned forests,
royalties, licence fees, taxes on forest products,
export levies, official development assistance and, CHAPTER 5
potentially, REDD+.1 Some case studies indicated TOWARDS BETTER
that devolving forest management rights to local GOVERNANCE OF
communities had helped improve livelihoods and LAND USE FOR
strengthen local support for sustainable forest FORESTS AND
management. The respective roles and AGRICULTURE
responsibilities of governments and local
communities need clear definition when
management rights are devolved. CHAPTER 5 summarizes the conclusions drawn in
previous chapters and suggests policy implications
The case studies demonstrated the importance for the better governance of land use for forests
of integrated land-use approaches at the and agriculture.
national, landscape and local levels. Examples
of such approaches include land-use master
plans; collaboration between agricultural and
forest research institutes and extension
services; watershed management; and
agroforestry systems.

1 REDD+ = reducing emissions from deforestation and forest degradation,


including the role of conservation, sustainable management of forests and
enhancement of forest carbon stocks.

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KEY MESSAGES
1 Meeting the worlds increasing demand for food
and other land-based products will require HIGHLY
PRODUCTIVE LANDSCAPES that are managed sustainably.

2 Forests play key roles in the WATER CYCLE, SOIL


CONSERVATION, CARBON SEQUESTRATION, and HABITAT
PROTECTION, including for pollinators. Their sustainable
management is crucial for sustainable agriculture and
food security.

3 Agriculture remains the most significant driver of


global deforestation, and there is an urgent need to
promote more POSITIVE INTERACTIONS between agriculture
and forestry.

4 The 17 Sustainable Development Goals (SDGs) agreed


by countries in 2015 are INTEGRATED AND INDIVISIBLE.
Progress towards sustainable agriculture, food security
and sustainable forest management, core elements of the
SDGs, should be made simultaneously.

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STATE OF THE WORLDS FORESTS 2016
5 IMPROVED COORDINATION is required between policies
on forests, agriculture, food, land use, and rural develop-
ment. Equally important are clear legal frameworks gov-
erning land-use change, including secure land-tenure
systems that recognize traditional customary rights to use
land and forest products.

6 Where large-scale commercial agriculture is the principal


driver of land-use change, effective REGULATION OF CHANGE,
with appropriate social and environmental safeguards, is
needed. Private governance initiatives, such as voluntary
certification schemes and commitments to zero deforestation,
also have a positive impact.

7 Where local subsistence agriculture is the principal


driver of land-use change, wider POVERTY ALLEVIATION and
RURAL DEVELOPMENT measures should be implemented
alongside actions to improve local agricultural, agroforestry
and other land-use practices.

8 INTEGRATED LAND-USE PLANNING provides a strategic


framework for balancing land uses at the national, subna-
tional and landscape scales. This should include meaningful
stakeholder participation to ensure the legitimacy of land-
use plans and obtain stakeholder buy-in for their implemen-
tation and monitoring.

9 Food security can be achieved through AGRICULTURAL


INTENSIFICATION and other measures such as social protection,
rather than through expansion of agricultural areas at the
expense of forests.

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CHAPTER 1
INTRODUCTION

MONGOLIA
Volunteer Forest Ranger and member
of the local Forest User Group,
on an outing with her horse.
FAO/Sean Gallagher
CHAPTER 1

INTRODUCTION
Transforming our world: the 2030 Agenda for maintain multiple forest ser vices in the
Sustainable Development (UN, 2015a), which was landscape context.
agreed by world leaders at the United Nations Forests are essential for climate-change
(UN) Summit on Sustainable Development in adaptation and mitigation. Sustainably
September 2015, is a plan of action for people, the managed forests will increase the resilience of
planet and prosperity. It stresses the need for bold ecosystems and societies and optimize the role
and transformative steps to move the world onto a of forests and trees in absorbing and storing
sustainable and resilient path, and it features 17 carbon while also providing other
Sustainable Development Goals (SDGs) that environmental ser vices.
demonstrate the scale and ambition of the plan.
The 2030 Agenda for Sustainable Development State of the Worlds Forests 2016 examines in more
emphasizes the integrated nature of the SDGs and detail how this vision can be realized, focusing on
the crucial importance of their interlinkages. the conversion of forests to agriculture and the
conversion of agricultural land to forest. 2
The significant role of forests in achieving the Agriculture is still the most significant driver of
SDGs was highlighted at the XI V World Forestr y global deforestation; given the importance to the
Congress, held in Durban in September 2015, planets future of both agriculture and forests, there
which was attended by nearly 4000 participants is an urgent need to promote positive interactions
from 138 countries. In its Durban Declaration between these two land uses. The challenge of
( World Forestr y Congress, 2015), the Congress feeding a global population projected to increase
set out a vision for the contribution of forests to from more than 7 billion people today to more than
achieving the 2030 Agenda for Sustainable 9 billion by 2050 is made more difficult by the
Development, emphasizing that: threats of climate change, growing water and land
scarcity, and soil and land degradation. In addition
Forests are more than trees and are to helping mitigate climate change and protect soils
f undamental for food securit y and improved and water, forests hold more than 75percent of the
livelihoods. The forests of the f uture w ill worlds terrestrial biodiversity, provide many
increase the resilience of communities by: products and services that contribute to
prov iding food, wood energ y, shelter, fodder socioeconomic development, and are particularly
and fibre; generating income and employ ment important for hundreds of millions of people in
to allow communities and societies to prosper; rural areas, including many of the worlds poorest
and harbouring biodiversit y. They w ill people (FAO, 2014a). Poor rural women are
support sustainable ag riculture and human especially dependent on forest resources for their
well-being by stabilizing soils and climate, subsistence (World Bank, FAO and International
and reg ulating water f lows. Fund for Agricultural Development, 2009).
Integrated approaches to land use provide a
way forward for improving policies and The achievement of food securit y and the
practices to: address the drivers of sustainable management of the worlds forests
deforestation and conf licts over land use; are central to the following two SDGs:
capitalize on the full range of economic,
social and environmental benefits of 2 This paper does not address forest degradation or other gradual
integrating forests with agriculture; and changes in forest cover that do not constitute land-use change.

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STATE OF THE WORLDS FORESTS 2016

SDG 2 End hunger, achieve food securit y out their responses to climate change, will
and improved nutrition and promote require action related to agriculture, forests and
sustainable agriculture; and other land uses.
SDG 15 Protect, restore and promote
sustainable use of terrestrial ecosystems, To achieve the relevant SDGs and to implement
sustainably manage forests, combat the actions required to combat climate change,
desertification, and halt and reverse land there is an urgent need to understand the drivers
degradation and halt biodiversit y loss. behind the conversion of forest to agriculture and
the conversion of agricultural land to forest. 3 The
Given their multifunctionality, forests also have challenge of achieving SDG2 without
roles to play in achieving several other SDGs, compromising SDG15 or the other SDGs
including SDG1, on ending poverty; SDG 6, on involving forests lies at the heart of State of the
protecting and restoring water-related ecosystems; Worlds Forests 2016; the challenge can be met
SDG7, on access to sustainable energ y for all; and through a more integrated approach to land-use
SDG13 on combating climate change and its and natural-resource policies, planning and
impacts. Box 1.1 summarizes the SDG targets that management. The President of the World Farmers
refer explicitly to agriculture and forests, including Organisation, Dr Evelyn Nguleka, speaking at the
SDG15.2, which calls for deforestation to be XIV World Forestry Congress, signalled a turning
halted by 2020. Sustainable forest management point in approaches to land use:
will also contribute significantly to other SDG15
targets, including: SDG15.3, on combating It is time for a change in consciousness it is a
desertification and restoring degraded land and fact that agriculture and forestry can no longer be
soil; SDG15.4, on the conservation of mountain treated in isolation. Linking the two is imperative for
ecosystems; and SDG15.5, on reducing the socioeconomic development in the 21st century.
degradation of natural habitats, halting the loss of
biodiversity, and preventing the extinction of Various conceptual models help explain the
threatened species. These interactions highlight dynamics of land-use change from forests to
the importance of integrated approaches to policy agriculture, and vice versa. In such models,
development, planning, and the management of indirect drivers of forest conversion may include
natural resources. population growth; economic development;
income distribution; agricultural demand for
Reducing emissions from deforestation and forest land; new technologies; market expansion;
degradation and the role of conser vation, insecure land tenure; and weak governance. For
sustainable management of forests and example, a model sometimes referred to as the
enhancement of forest carbon stocks (known as environmental Kuznets cur ve suggests that,
REDD+) will be vital for global efforts to combat when per capita income is low, economic growth
climate change. In the December 2015 Paris tends to exacerbate environmental problems,
Agreement (UNFCCC, 2015), countries agreed to such as deforestation, but that the opposite
conser ve and enhance sinks and reser voirs of occurs beyond a certain income threshold. The
greenhouse gases, including forests. Accordingly,
many of the Intended Nationally Determined 3 As explained in the Annex, agricultural land includes cropland and
Contributions (INDCs), in which countries set land used for grazing.

| 3 |
CHAPTER 1 INTRODUCTION

forest transition model suggests that, opportunities can have a critical inf luence on
following the clearance of forest land for the relationship between demand, supply and
agriculture, less productive land may eventually price; and expectations of revenues from the
be abandoned for farming purposes and will forest can affect the incentive, or lack of
revert to forest, either through natural incentive, to retain land in forest use. Other
regeneration or tree planting, while more important factors affecting land-use change may
productive land is more likely to remain in include underlying cultural norms and securit y
agricultural use. This process may take place of tenure, both of which may inf luence trade-
over centuries or may be more rapid; historical offs between short-term gain and long-term
evidence is available from a number of regions loss. The dynamics of land-use change in
and countries, such as northern Europe, China, industrialized countries can be different to
India, the United States of America and Viet those in developing countries.
Nam, supporting the forest transition model. A
third model, known as the Borlaug hypothesis, The need to understand the context within which
is based on the assumption that, other things land-use change is taking place is demonstrated
being equal, an increase in agricultural by the important distinction between large-scale
productivit y reduces the area of land required for commercial agriculture driven primarily by profit
agricultural production and so reduces pressure goals, and local subsistence agriculture driven by
to convert forest land to agriculture. livelihood needs. Policies and related instruments
also have an impact; for example, land grants
Such models can provide useful explanator y have sometimes been used to encourage farmers
narratives for the conversion of forests to to clear forest land when the expansion of
agriculture, but the realities on the ground may agricultural land has been a policy priorit y.
be much more complex. For example, economic
models designed to demonstrate the relationship State of the Worlds Forests 2016 provides a global
between deforestation and technological change over view of trends in land-use change and
in agriculture have produced different results in national policies, taking a closer look at the
different situations. Those seeking to explain specific cases of seven countries. It concludes
behaviour in terms of the interactions between with recommendations for a more holistic
supply, demand and price show that: higher approach to land-use planning, vital to achieve
agricultural prices can create an economic the SDGs and implement effective climate-
incentive to clear forest land; trading change actions. n

| 4 |
BOX 1.1

SDGS AND TARGETS THAT REFER


EXPLICITLY TO AGRICULTURE
AND FORESTS
SDG 2:
END HUNGER, ACHIEVE FOOD SECURITY AND IMPROVED NUTRITION
AND PROMOTE SUSTAINABLE AGRICULTURE.
Targets include:
2.1 By 2030, end hunger and ensure access by all people, in particular the poor and people in vulnerable
situations, including infants, to safe, nutritious and sufficient food all year round.
2.3 By 2030, double the agricultural productivity and incomes of small-scale food producers, in particular
women, indigenous peoples, family farmers, pastoralists and fishers, including through secure and equal
access to land, other productive resources and inputs, knowledge, financial services, markets and
opportunities for value addition and non-farm employment
2.4 By 2030, ensure sustainable food production systems and implement resilient agricultural practices that
increase productivity and production, that help maintain ecosystems, that strengthen capacity for adaptation
to climate change, extreme weather, drought, flooding and other disasters and that progressively improve
land and soil quality.
2.a Increase investment, including through enhanced international cooperation, in rural infrastructure, agricultural
research and extension services, technology development and plant and livestock gene banks in order to
enhance agricultural productive capacity in developing countries, in particular least developed countries.
2.b Correct and prevent trade restrictions and distortions in world agricultural markets, including through the
parallel elimination of all forms of agricultural export subsidies and all export measures with equivalent effect,
in accordance with the mandate of the Doha Development Round.
2.c Adopt measures to ensure the proper functioning of food commodity markets and their derivatives and
facilitate timely access to market information, including on food reserves, in order to help limit extreme food
price volatility.

SDG 6:
ENSURE AVAILABILITY AND SUSTAINABLE MANAGEMENT OF WATER
AND SANITATION FOR ALL.
Targets include:
6.6 By 2020, protect and restore water-related ecosystems, including mountains, forests, wetlands, rivers, aquifers
and lakes.

SDG 15:
PROTECT, RESTORE AND PROMOTE SUSTAINABLE USE OF TERRESTRIAL ECOSYSTEMS,
SUSTAINABLY MANAGE FORESTS, COMBAT DESERTIFICATION, AND HALT
AND REVERSE LAND DEGRADATION AND HALT BIODIVERSITY LOSS.
Targets include:
15.1 By 2020, ensure the conservation, restoration and sustainable use of terrestrial and inland freshwater
ecosystems and their services, in particular forests, wetlands, mountains and drylands, in line with obligations
under international agreements.
15.2 By 2020, promote the implementation of sustainable management of all types of forests, halt deforestation,
restore degraded forests and substantially increase afforestation and reforestation globally.
15.b Mobilize significant resources from all sources and at all levels to finance sustainable forest management and
provide adequate incentives to developing countries to advance such management, including for conservation
and reforestation.

| 5 |
CHAPTER 2
TRENDS IN
LAND-USE CHANGE

NIGER
Animals sheltering from the hot
sun under a shade tree on their
journey from Niamey to Tera.
FAO/Giulio Napolitano
KEY MESSAGES
1 Humankind has converted forest land to agricultural
use for thousands of years as part of the process of
ECONOMIC DEVELOPMENT. Deforestation was most
prevalent in the temperate climatic domain until the
late 19th century and is now greatest in the tropical
climatic domain.

2 IN THE TROPICAL DOMAIN, net annual LOSS OF FOREST


area from 2000 to 2010 was about 7 MILLION HECTARES,
and net annual INCREASE IN AGRICULTURAL LAND area
was more than 6MILLION HECTARES. There were significant
regional variations: Central and South America, sub-Saharan
Africa and South and Southeast Asia all had net losses of
forest and net gains in agricultural land.

3 There were NET GAINS IN FOREST AND NET LOSSES IN


AGRICULTURAL AREA in EUROPE, NORTH AMERICA AND
NORTHEAST ASIA. Factors contributing to net increases in
forest area included reduced pressure on forests as a result
of economic growth, declining rural populations or
improved agricultural productivity; and effective policies
aimed at expanding forest area.

| 8 |
CHAPTER 2

4 The LARGEST NET LOSS OF FOREST area and the LARGEST


NET GAIN IN AGRICULTURAL AREA in 20002010 was in the
LOW-INCOME group of countries, with net forest loss associated
with increasing rural populations.

5 In TROPICAL AND SUBTROPICAL countries, large-scale


commercial agriculture and subsistence AGRICULTURE
ACCOUNTED FOR 73PERCENT OF DEFORESTATION, with
significant regional variations. For example, commercial
agriculture accounted for almost 70percent of deforestation
in Latin America but for only one-third in Africa, where
small-scale agriculture is a more significant driver.

6 GLOBAL DEMAND FOR AGRICULTURAL PRODUCTION WILL


CONTINUE TO RISE. Technological improvements can increase
global supply by increasing productivity, but there is a clear
need for a strategic, integrated approach to agriculture,
forestry and other natural-resource policies.

| 9 |
CHAPTER 2

TRENDS IN
LAND-USE CHANGE
2.1INTRODUCTION agroforestry systems as other land with tree cover;
on the other hand, forest grazing lands are usually
counted as part of the forest area unless the grazing is
People began converting forests to other land uses so intensive that the land is considered to be other
using fire, primitive tools and grazing thousands of land with tree cover.
years ago to facilitate hunting and agriculture. Today,
humankind has greater technological capacity than Forest loss can have both human and natural causes.
ever before to bring about rapid land-use change on a The former is far more widespread than the latter,
very large scale. This chapter examines trends in with deforestation occurring when people clear forests
land-use change, focusing on the conversion of forests and use the land for other purposes, such as
to other land uses, especially agriculture, and of agriculture, infrastructure, human settlements and
agriculture to forest. mining. Natural phenomena, in particular disasters,
may lead to the conversion of forests to other land uses
According to the Global Forest Resources Assessment if the forest does not regenerate naturally and there is
2015 (FAO, 2015a), the global forest area fell by 129 no reforestation by humans. On the other hand, forest
million hectares (3.1 percent) in the period 19902015, gains occur through natural expansion or through
to just under 4 billion hectares. Land-use change is planting or deliberate seeding on non-forested land,
not necessarily the same as land-cover change. Land for example on abandoned agricultural land
cover is the observed biophysical cover of the earths (afforestation). When an area of forest is cut down and
surface, but land use reflects the actions of people and replanted (reforestation) or forest grows back on its
their intentions.4 An area newly planted with trees, own within a relatively short period through natural
for example, may not qualify as forest cover, even regeneration, there is no change in land use. Forest
though the land use is forest. It can be difficult to gains and losses occur continuously, and it can be
define the predominant land use, for example in the challenging to collect reliable data on these dynamics,
case of agroforestry systems, forest grazing and even with high-resolution satellite imagery. n
small-scale agriculture. There are large areas with
mixed systems such as forests and trees on

2.2A GLOBAL
agricultural land and agriculture on forest land.
Agroforestry in its many forms, and trees outside

HISTORY OF FOREST
forests, are crucial for food security and poverty
alleviation; and off-farm forests can help support

CONVERSION
on-farm productive activity. These forms of integrated
land use, which also include rotational shifting
cultivation, have a long history in many parts of the
world. The focus of this report, however, is on Humankind has a long histor y of converting
changes in land use from agriculture to forest, and forest to other land uses. This section outlines
vice versa. In general, land-use statistics classify factors that have inf luenced changes in forest
area in past centuries. 5

4 The annex includes definitions of land use, forest, other land with tree
cover, agricultural land, cropland, other land, deforestation, afforestation,
reforestation, natural expansion of forest, planted forest, forest degradation, 5 Much of the information in this section is derived from FAO (2012b) and
and land-tenure system. Williams (2003).

| 10 |
STATE OF THE WORLDS FORESTS 2016

From early history to 1900 China was about 1.4 million people, and forests
covered more than 60 percent of the land area. By
Some estimates suggest that global forest area 1840, Chinas population had reached 413 million
has decreased by around 1.8 billion hectares in and forest cover had declined to 17 percent (Fan
the past 5 000 years (a decline equivalent to and Dong, 2001; Liu and Tian, 2010). The forests of
nearly 50percent of the total forest area today). southern Asia were also converted to agricultural
Archaeological and historical evidence indicates land to support the rapidly expanding population
that much of this forest loss was associated with in that region. It is likely that the forest area in
population increases and demand for land for southern Asia has declined by more than half in
crops and grazing, as well as with unsustainable the last 500 years. There, as elsewhere,
levels of exploitation of forest resources. colonization had an impact on forests, with the
European colonizers heavily exploiting timber for
Until the late nineteenth centur y, the highest use in other parts of the world. Nevertheless,
rates of deforestation were in the worlds ancient practices of shifting cultivation, within
temperate regions; for example, the area of forest which forests are regarded as integral parts of
in the Near East and around the Mediterranean wider landscapes that also meet agricultural
Sea was much greater 5 000 years ago than it is needs, continued in many parts of Asia.
today. Records from ancient civilizations and
empires give insights into the exploitation of In the Americas, there is evidence that native
forests and their conversion to other uses: for cultures systematically used fire to convert forest
example, Alexander the Great used Cyprus as a areas for crop-growing or as a wildlife
strategic site for shipbuilding because of its management tool. Large-scale forest conversion in
abundant oak forests. In western and central the North American continent began, however,
Europe, an estimated four-fifths of the land was with the arrival of Europeans in the late fifteenth
covered with forests and swamps 1500 years ago, century. The rate of forest conversion rose sharply
but about half that forest was cleared in the as the human population grew; on the other hand,
subsequent 800 years ( Williams, 2003). Severe the push westward by settlers in the nineteenth
disease in Europe about 650 years ago led to century led to forest regrowth on abandoned
major population declines; an estimated one- agricultural land in the east. In Central and South
quarter of arable land was abandoned, and forests America, forest cover was probably about
regrew on at least some of that area. Renewed 75percent of the land area before the arrival of
pressure on forests in Europe in later centuries Europeans; deforestation in the eighteenth and
led to concern in some countries about the nineteenth centuries reduced this to about
depletion of forest resources and prompted the 70percent by the early twentieth century.
passing of laws aimed at preventing forest loss
and promoting tree planting. The concept of In Africa, as elsewhere, f luctuations in
forest sustainabilit y emerged in Europe about 300 population densit y have had consequences for
years ago with the publication of Silvicultura forest cover. The spread of Iron Age farming
Oeconomica by Hans Carl von Carlowitz (1713). through Africa is likely to have had an impact on
forests due to the use of charcoal for iron
Land conversion followed a similar pattern in smelting and the availabilit y of iron tools.
Asia. Four thousand years ago, the population of Periodic population declines due to disease and,

| 11 |
CHAPTER 2 TRENDS IN LAND-USE CHANGE

in more recent centuries, the Atlantic slave trade, independent countries in the tropics continued to
probably led to the abandonment of agricultural ref lect its legacy. Nigeria, for example, lost more
land and forest regrowth in affected regions than 90 percent of its primar y forest due to
(Malhi et al., 2013). practices initiated in the colonial era, such as the
mechanized logging of forest reser ves, the
establishment of state-owned agricultural
1900 to 2000 plantations (such as cocoa and oil palm), and
mining (Enuoh and Bisong, 2015). In general,
The geographical distribution of deforestation however, deforestation in sub-Saharan Africa was
changed in the twentieth century, but its major lower than elsewhere in the tropics, and the
driver continued to be the expansion of agricultural drivers of forest conversion to other land uses
land, facilitated by greater mechanization. Other also differed (Rudel, 2013). n
drivers included urban expansion, infrastructure
development and mining.

Deforestation slowed or reversed in the late 2.3TWENTY-FIRST


CENTURY LAND-USE
nineteenth centur y and the twentieth centur y in
the temperate and boreal climatic domains. In

CHANGE DYNAMICS
western Europe, deforestation rates declined as a
result of several factors, such as improvements in
the productivit y of existing agricultural land; the
consideration that remaining forest lands were Fig ure 2.1 shows the proportions of the total land
less suitable for farming; industrialization and area occupied by agriculture, forests and other
associated urbanization; an increase in timber land uses in various regions of the world, as of
imports from other parts of the world; and the 2010. Asia has the highest proportion of
replacement of wood by coal as the main source agricultural land (52percent) and the lowest
of fuel. By the end of the twentieth centur y the proportion of forest (19percent). Europe,
forest area in most of Europe was stable or including the Russian Federation, has the lowest
increasing, with forests covering around one- proportion of agricultural land (21 percent) and
third of the total land area. 6 Forest area has been the second-highest proportion of forest
stable in North America since the early twentieth (46percent). Globally, agriculture accounts for
centur y, following two centuries of deforestation. more than one-third (37.7 percent) of the land
Although forest cover in China had fallen to a area, and forest and other for just under one-
historical low of less than 10 percent of the land third each (30.7 percent and 31.6 percent,
area by 1949, it had recovered to nearly 20 percent respectively).
of the land area by the end of the twentieth
centur y as a result of major reforestation and
afforestation programmes. Dynamics of land-use
Deforestation generally increased in the tropical change, by climatic domain
domain in the twentieth centur y, especially in
developing countries; in Latin America, for Fig ure 2.2 shows the net annual average change7
example, forest area had declined to around in the areas of forest and agricultural land in
50percent of the land area by the end of the the period 2000 2010 in the four major climatic
centur y. Although colonialism was largely domains (boreal, temperate, subtropical and
dismantled in the aftermath of the Second World tropical). In the boreal domain, the area of forest
War, the forest policies of many newly increased over the decade and the area of

6 Excluding the Russian Federation; the figure is 46 percent if the Russian 7 Net change takes into account both gains and losses in forest and
Federation is included. agricultural land; see the annex for more details on the analysis.

| 12 |
FIGURE 2.1

LAND AREA BY MAJOR LAND-USE CLASS, 2010

100%

80%

60%
PERCENT

40%

20%

0%
Africa Asia Europe North Oceania South World
and Central America
America
Agriculture Forest Other

Note: Other land is all land not categorized as agricultural or forest land.
SOURCE: FAO, 2015a, 2016a. Net annual average ch
in forest area, 20002

FIGURE 2.2 Net annual average ch


in agricultural area, 20
NET ANNUAL AVERAGE CHANGE IN FOREST AND AGRICULTURAL LAND, BY
CLIMATIC DOMAIN, 20002010
8 000

6 000

4 000
Net annual average change
in forest area, 20002010 2 000
000 HA

Net annual average change 0


in agricultural area, 20002010
-2 000

-4 000
Boreal
-6 000
Temperate
SOURCE: FAO, 2015a, 2016a. -8 000
Boreal Temperate Subtropics
Subtropics Tropics

Tropics
FIGURE 2.3

NET ANNUAL AVERAGE FOREST AREA CHANGE, BY CLIMATIC DOMAIN (000 ha per year)
6 000

4 000
ANNAUL FOREST CHANGE (000 ha)

2 000

0
Boreal
cs Tropics
Temperate -2 000

Subtropics -4 000

Tropics -6 000

-8 000

-10 000
SOURCE: FAO, 2015a. 20002015 20002005 20052010 20102015

| 13 |
CHAPTER 2 TRENDS IN LAND-USE CHANGE

agricultural land declined. A similar change case studies in Chapter 4, for example, forest
occurred in the temperate domain an increase area has increased despite increases in rural
in forest area was accompanied by a decrease in populations.
agricultural area. The trend can largely be
explained by the natural expansion of forest on
abandoned agricultural lands, including
rangelands, in territories that were part of the
Land-use change dynamics
former Soviet Union. For example, there was an by income category
increase in forest area of 26 million hectares on
abandoned farmland in Belarus, Kazakhstan Land-use change dynamics in 2000 2010
and the Russian Federation (Lambin and were further explored by examining net
Meyfroidt, 2011). annual average changes in forest and
agricultural area when countries were
The tropical climatic domain had the highest grouped in income categories (Fig ure 2.5).
decrease in forest area of any domain from Those in the high-income categor y
2000 to 2010, and it was the only domain to showed, overall, a reduction in
show an increase in agricultural area. An agricultural area and an increase in forest
estimated 7million hectares of forest was area over the period. There was an overall
lost per year over the period in the tropics, decrease in forest area in the upper-
and the area of agricultural land increased middle-income, lower-middle-income and
by 6million hectares per year. The link low-income categories. The largest annual
between the decline in forest area and the net loss of forest area and annual net gain
increase in agricultural land is discussed in in agricultural area occurred in the low-
section 2.4. income categor y of countries.

Fig ure 2.3 shows that there were net


declines in forest area in the tropical
climatic domain in each of the three 5-year
Land-use change dynamics
periods between 2000 and 2015. In contrast, by subregion
the net forest area increased in the
temperate domain in each of those periods, Net annual average change in the areas of
and there were only relatively minor forest and agricultural land by subregion
changes in forest area in the boreal and were examined for the period 2000 2010.
subtropical climatic domains. Fig ure 2.6 and Fig ure 2.7 show a strong
correlation between agricultural expansion
Fig ure 2.4 shows the relationship between and deforestation in South America, sub-
change in total forest area and change in the Saharan Africa, and South and Southeast
rural population in the four major climatic Asia. This is consistent with the findings of
domains in the period 2000 2010. The rural Hosonuma et al. (2012), who reported that
population increased in the tropical domain, 70 80 percent of forest conversion in Africa,
where 64 percent the worlds rural about 70 percent of forest conversion in
population lives, and decreased in the other subtropical Asia, and more than 90 percent
domains. In the temperate domain, total of forest conversion in Latin America is due
forest area increased and total rural to agricultural expansion.
population fell; in the subtropical domain,
both forest area and rural population Fig ure 2.7 shows that there was a net
decreased. The apparent relationship reduction in the area of agricultural land
between increasing rural population and and a net increase in forest in East Asia,
loss of forest cover does not apply Western and Central Asia, Europe and
ever y where; in some countries featured in North America.

| 14 |
FIGURE 2.4

PERCENTAGE OF NET FOREST CHANGE AND RURAL POPULATION CHANGE, BY CLIMATIC


DOMAIN, 20002010
10

8
PERCENTAGE OF FOREST CHANGE, 20002010

6
29
4

2
2
0
-20 -15 -10 -5 0 5 10 15 20
5 -2

-4 64

-6

-8

-10

PERCENTAGE OF RURAL POPULATION CHANGE, 20002010

Boreal Temperate Subtropics Tropics

Note: Bubble size and figure inside it = relative share of world rural population in each climatic domain in 2010.
SOURCE: FAO, 2015a, 2016a.

Net annual average


FIGURE 2.5 change in forest area,
20002010
NET ANNUAL AVERAGE CHANGE IN AGRICULTURAL AND FOREST AREA IN COUNTRIES
Net annual average
GROUPED BY INCOME CATEGORY, 20002010 change in agricultural area,
20002010

4 000

3 000

2 000

1 000
000 HA

-1 000

Net annual average -2 000


change in forest area,
20002010
-3 000
Net annual average
change in agricultural area,
20002010 -4 000
High Upper-middle Lower-middle Low

SOURCE: FAO, 2015a, 2016a.

| 15 |
FIGURE 2.6

NET ANNUAL AVERAGE CHANGE IN AGRICULTURAL AND FOREST AREA IN SUBREGIONS,


20002010
4 000

3 000

2 000

Net annual average change 1 000


in forest area, 20002010

000 HA
0
Net annual average change
in agricultural area, 20002010 -1 000

-2 000

-3 000

-4 000
Central Eastern and Northern South South and Western
SOURCE: FAO, 2015a, 2016a. America Southern Africa America Southeast and Central
Africa Asia Africa

FIGURE 2.7

NET ANNUAL AVERAGE CHANGE IN AGRICULTURAL AND FOREST AREA IN SUBREGIONS,


20002010
4 000

3 000

2 000

1 000
000 HA

0
Net annual average change
in forest area, 20002010 -1 000

Net annual average change -2 000 Caribbean East Asia Europe North America Western and
in agricultural area, 20002010 Central Asia
-3 000

SOURCE: FAO, 2015a, 2016a. -4 000

TABLE 2.1

COUNTRIES WITH NET GAINS IN AGRICULTURAL AREA AND NET LOSSES


IN FOREST AREA, 20002010
Net forest loss Net agricultural gain
REGION COUNTRY
(000 ha) (000 ha)
Africa Angola, Benin, Burkina Faso, Cameroon, Chad, Ethiopia, Guinea, -19 821 31 190
Liberia, Madagascar, Malawi, Mali, Niger, Senegal, Sierra Leone,
Uganda, United Republic of Tanzania, Zambia, Zimbabwe

Asia Cambodia, Indonesia, Myanmar, Philippines, Sri Lanka, Thailand -10 562 13 484

Europe Finland* -227 74

Central America El Salvador, Haiti, Honduras, Panama -1 421 545

South America Argentina, Brazil, Paraguay, Peru -29 834 32 068

TOTAL -61 865 77 287

*Much of this loss can be explained by sampling error; the actual loss was due mainly to expansion of urban settlements.
SOURCE: FAO, 2015a, 2016a.

| 16 |
STATE OF THE WORLDS FORESTS 2016

Fig ure 2.8 indicates the various combinations of


net gains or losses in forest area and agricultural 2.4DRIVERS OF
CONVERSION FROM
area, by countr y/territor y worldwide, in the
period 2000 2010.

Most of the 33 countries and territories shown FOREST TO


AGRICULTURE
in dark brown in Fig ure2.8 (indicating net
losses in forest area and net gains in
agricultural area in 2000 2010) are in Africa,
South and Central America, and South and Deforestation is the result of processes driven by
Southeast Asia (Table 2.1). multiple causes occurring at various scales and
differing significantly between locations. Despite
Seventeen countries and territories (shown in global concerns, there is a lack of quantitative
light brown in Fig ure 2.8) reported a decrease in information on deforestation drivers.
both the area of agricultural land and forest area:
Australia, Bangladesh, Colombia, Ecuador, The causes of deforestation may be proximate
Guadeloupe, Equatorial Guinea, Guatemala, (direct), or underlying (indirect) (Kaimovitz and
Jamaica, the Republic of Korea, Mauritius, Nepal, Angelsen, 1998; Kissinger, Herold and De Sy,
Nicarag ua, Nigeria, Portugal, Saint Lucia, 2012). Proximate causes of deforestation include
Trinidad and Tobago, and the United States human activities with direct impacts on forest
Virgin Islands. Six of these are Small Island cover, such as agricultural expansion, urban
Developing States and are not visible in growth, infrastructure development and mining.
Fig ure2.8. Although unsustainable wood removal, including
illegal har vesting, is sometimes regarded as a
Forest area increased and agricultural area cause of deforestation, it is more often associated
decreased in the 29 countries or territories shown with forest degradation because wood removal
in light green in Fig ure 2.8 (mainly in the does not necessarily lead to changes in land use.
temperate climatic domain). Combined, the forest Underlying causes of deforestation relate to
area in these increased by 6percent over the macro-level interactions of demographic,
period, including a 25 percent increase in the economic, technological, social, cultural and
area of planted forest. political factors (Kissinger, Herold and De Sy,
2012; Geist and Lambin, 2001; Millennium
The area of agricultural land and the forest area Ecosystem Assessment, 2005) that may operate at
both increased from 2000 to 2010 in the some distance from the forests they affect. Both
15countries or territories shown in dark green in proximate and underlying causes of deforestation
Fig ure 2.8. Combined, the forest area in these are described in more detail below.
increased by 8percent, including a 31percent
increase in the area of planted forest.
Proximate drivers
Other countries or territories for which data were
available showed only small changes in one or According to some estimates, ag ricultural
other of the land uses. expansion is the proximate driver of about
80percent of deforestation worldw ide
Factors affecting global trends in land use are (K issinger, Herold and De Sy, 2012), albeit w ith
considered in more detail in sections 2.4 and 2.5. differences in geog raphical distribution, as
As the case studies presented in Chapter 4 described above. As noted in Chapter 1, there is
highlight, the significance of particular drivers of an important distinction bet ween large-scale
deforestation depends to a large extent on the commercial ag riculture and subsistence
circumstances of each countr y. n ag riculture as deforestation drivers. A lthough it
may bring other economic benefits and enhance
Continues on page 20
| 17 |
FIGURE 2.8

NET CHANGES IN AGRICULTURAL AND FOREST AREA, BY COUNTRY/TERRITORY, 20002010

NET GAIN IN AGRICULTURAL AREA,


NET LOSS IN FOREST AREA

NET GAIN IN FOREST AREA,


NET LOSS IN AGRICULTURAL AREA

NET LOSS IN FOREST AND AGRICULTURAL AREA

NET GAIN IN FOREST AND AGRICULTURAL AREA

NO OR SMALL CHANGE IN THE AREA


UNDER BOTH LAND USES

NO DATA AVAILABLE

| 18 |
SOURCE: FAO, 2015a, 2016a.

| 19 |
CHAPTER 2 TRENDS IN LAND-USE CHANGE

Continued from page 17


global food securit y, the large-scale, export-
accounts for only one-third of deforestation in
focused commercial production of ag ricultural
Africa (DeFries et al., 2010; Fisher, 2010). There
commodities may contribute little to food
are opportunities to improve the efficiency of
production at the local or national level. A n
small-scale subsistence farms, for example
analysis of national data for 46 tropical and
through improved cultivation, irrigation, seed-
subtropical countries representing about
storage, composting, agroforestr y and food-
78percent of the forest areas in those domains
storage practices, but there are also significant
(Hosonuma et al., 2012) revealed that large-scale
constraints to innovation. Collective action
commercial ag riculture is the most prevalent
through farmer organizations can help, but
driver of deforestation, accounting for 40
povert y alleviation also requires effective rural
percent. Local subsistence ag riculture accounts
development policies and social protection (FAO,
for an estimated 33 percent of deforestation,
2014b). Large-scale commercial agriculture is
urban expansion for 10 percent, infrastructure
likely to increase in Africa (Hosonuma et al.,
for 10percent and mining for 7 percent.
2012) due to growth in global markets, policies
Hosonuma et al. (2012) noted that, in some
aimed at developing the palm-oil industr y, and
cases, land-use change was preceded by forest
proposals for significant large-scale agricultural
deg radation, for example caused by
projects in Central Africa (Megevand, 2013).
unsustainable or illegal wood removal.
Fig ure 2.9 shows how the relative importance of A recent study of deforestation drivers in seven
various proximate deforestation drivers varies South American countries (De Sy et al., 2015)
between regions. Commercial agriculture highlighted the relationship between
accounted for almost 70 percent of the deforestation and pasture expansion for cattle
deforestation in Latin America in the period ranching (Fig ure 2.10). Sevent y-one percent of
2000 2010. In the Amazon, in particular, deforestation in those South American countries
agribusiness production for international markets in 1990 2005 was driven by increased demand for
such as cattle ranching, soybean farming and oil- pasture, 14 percent was driven by increased
palm plantations has been identified as a main demand for commercial cropland, and less than
driver of post-1990 deforestation (Rudel et al., 2percent was the result of infrastructure and
2009; Boucher et al., 2011). urban expansion. Pasture expansion caused at
least one-third of forest loss in all countries
In Southeast Asia, oil-palm plantations except Peru, where smallholder cropland
established for the food industr y and, to some expansion (at 41percent) was a more dominant
extent, the production of biofuels have replaced driver. In Argentina, pasture expansion was
substantial areas of natural forest. For example, responsible for nearly 45 percent of forest loss
the area of oil-palm plantations in Malaysia over the period and the expansion of commercial
increased from 2.4 million to 4.2 million hectares cropland for more than 43percent. More than
from 1990 to 2005, replacing an estimated 80percent of deforestation in Brazil in the period
1million hectares of forest (or more) over the was associated with conversion to pasture land.
period. The area of oil-palm plantations in
Indonesia increased from 1.7 million to
6.1million hectares from 1990 to 2000, replacing Underlying drivers
an estimated 1.7 million3.0 million hectares of
forest (Fitzherbert et al., 2008). Underly ing factors affecting the conversion of
forests to ag riculture include population g rowth,
Small-scale agricultural processes dominate ag ricultural development, land-tenure securit y,
deforestation in Africa, where many poor and the governance of land-use change.
households, particularly in sub-Saharan Africa,
adopt low-risk, low-return agricultural and other A lthough population g rowth has been slow ing
income-generating strategies (FAO, 2015b); large- since the late 1970s, the worlds population has
scale commercial agriculture, on the other hand, doubled since 1970 and now stands at about

| 20 |
FIGURE 2.9

ESTIMATE OF (A) PROPORTION OF TOTAL AREA OF LAND-USE CHANGE ASSOCIATED


WITH VARIOUS PROXIMATE DRIVERS OF DEFORESTATION, AND (B) ABSOLUTE NET FOREST
AREA CHANGE ASSOCIATED WITH PROXIMATE DRIVERS OF DEFORESTATION,
BY REGION, 20002010
A B B
100%
50 000
90% 45 000
80% 40 000

DEFORESTATION AREA (KM2/Y)


70%

DEFORESTATION AREA (KM2/Y)


35 000
60% 30 000

20002010
20002010
50% 25 000
40% 20 000
30% 15 000
20% 10 000
10% 5 000

0% 0
Africa America Asia All Africa America Asia

CONTINENTS

Urban expansion Infastructure Mining Agriculture (local/subsistence) Agriculture (commercial)

SOURCE: Adapted from Hosonuma et al., 2012.

FIGURE 2.10

PROPORTION OF DEFORESTATION ATTRIBUTED TO VARIOUS DRIVERS IN SEVEN SOUTH


AMERICAN COUNTRIES, 19902005

100%

90%

80%

70%

60%

50%

40%

30%

20%

10%

0%
)
of
iv la
a

ia

ay

a
pu an

ru
l
in

zi

bi
ic
ol e
liv

Pe
gu

Re ari
(B ezu
nt

bl

om
Bo

Br
ge

ra

ol
Pa
Ar

Ve

Unknown land use Water Other land use Infrastructure Tree crop
Mixed agriculture Smallholder crop Commercial crop Pasture
SOURCE: De Sy et al., 2015.

| 21 |
CHAPTER 2 TRENDS IN LAND-USE CHANGE

7.3billion people. Per capita food consumption higher-priorit y sectors such as ag riculture,
has also increased from an average of mining, industrial development and energ y
2370kilocalories (kcal) per person per day in may have a g reater impact on forests than the
the late 1970s to 2770 kcal per person per day in forest polic y itself. Other potential aspects of
2012 and diets have shifted towards the poor governance include inadequate land-use
consumption of more livestock products and and resource planning and monitoring;
vegetable oils (A lexandratos and Bruinsma, inadequate capacit y for enforcing forest
2012). The global population has increased by policies and combating illegal logg ing;
37percent since 1990 and food consumption has inadequate involvement of local people and
increased by 40percent. Urban-based and external stakeholders in decision-making
international demand for ag ricultural processes; corruption; incoherent, incomplete
commodities is an important driver of or non-existent legal or reg ulator y frameworks;
deforestation (DeFries et al., 2010). With and inadequate investment in research and
globalization, food availabilit y depends education (Rademaekers et al., 2010). n
increasingly on international trade.

2.5DRIVERS OF
Changes in market conditions and ag riculture
policies that increase profitabilit y can increase

CONVERSION FROM
demand for ag ricultural land and lead to
deforestation. Ag ricultural profitabilit y may

AGRICULTURAL LAND
increase, for example, due to preferential access
to land; tax concessions and soft loans; better

TO FOREST
transportation links and cheaper access to
urban markets; the development of new
markets, such as biof uels; weaker currencies,
leading to increased demand for exports; and T he conversion of ag r icult ura l land to forest
improved technolog ies. may be the result of nat ura l forest ex pansion
or t ree plant ing. Nat ura l forest ex pansion
The forests most v ulnerable to ag ricultural may occur when ag r icult ura l land is
conversion tend to be on f lat, easily accessible abandoned, for example when a r ura l
land w ith high-fertilit y soils, such as coastal and populat ion decl ines, land becomes suf f iciently
island forests w ith good sea transport links to deg raded that it becomes unproduct ive as
markets. High levels of povert y and inefficient ag r icult ura l land, or more product ive
ag ricultural production systems can also put ag r icult ura l land becomes ava i lable
pressure on forests, w ith people seeking elsewhere. Forest pol icies m ight be put in
economic opportunities on the forest frontier. place to encourage t ree plant ing w ith the a im
of meet ing ant icipated f ut ure needs for forest
There is evidence to show that land-tenure goods (such as wood f uel, t imber and forest-
security is a necessary condition for preventing g row n foods) and env i ronmenta l ser v ices
deforestation (although insufficient on its own) (such as those related to ca rbon
(Robinson, Holland and Naughton-Treves, 2013). sequest rat ion, biod iversit y conser vat ion,
Uncertain or insecure land tenure reduces the pol l inat ion, and the protect ion of soi l and
value placed on future forest production relative to water resources).
the more immediate income possible from
agricultural production, thus creating an incentive T he impact on forest a rea of reverse
for forest conversion (Barbier and Burgess, 2001). d r ivers such as a f forestat ion pol icies is
pa r t icula rly ev ident in high-income
Poor governance can be a driver of count r ies such as the United States of
deforestation in several ways. W here A mer ica and those of Wester n Europe, where
intersectoral linkages are weak, policies in net deforestat ion bot tomed out many

| 22 |
STATE OF THE WORLDS FORESTS 2016

decades ago, but there is now ev idence of a forest area in the period 1990 2015,
sim i la r t rend in some developing count r ies. amounting to 73.1 million hectares; this was
In the per iod 1990 2015, 93 count r ies due mainly to large-scale afforestation
recorded net forest losses (tota l l ing prog rammes in China. In Europe,
242 m i l l ion hecta res), but 88count r ies had 35countries recorded a net increase in forest
net ga ins in forest a rea (tota l l ing a lmost area, totalling 21.5 million hectares.
113 m i l l ion hecta res) ( FAO, 2015a). Thirteen countries in A frica, eight countries
in Oceania, six countries in North and
The reg ional distribution of this net increase Central A merica, and t wo countries in South
in forest area varies across reg ions. In Asia, A merica also had net increases in forest area
24countries experienced a net increase in over the period. n

| 23 |
CHAPTER 3
THE GOVERNANCE
AND MANAGEMENT
OF LAND-USE CHANGE

VIET NAM
A local engineer
demonstrates the links
between forest
management and soil
and water protection.
FAO/Hoang Dinh Nam
KEY MESSAGES
1 Although most countries have formal policies for their
forest and agriculture sectors, there is an increasing need
for POLICIES ON LAND-USE CHANGE between forest and
agriculture in light of recent international agreements,
such as the 2030 Agenda for Sustainable Development
and the Paris Agreement on CLIMATE CHANGE.

2 Complexities in the governance of land-use change


could be reduced with BETTER COORDINATION between
policies on forests, agriculture, food, land use, rural
development, water and climate change. Such coordination
would include setting cross-sectoral priorities or strategic
targets for land-use change, and appropriate institutional
arrangements.

3 LEGAL FRAMEWORKS for the conversion of forest to


agricultural land are often complex, and informal local
practices may have a strong influence where implementation
and law enforcement is weak. The role of customary law,
based on traditional rights, is especially important for
vulnerable groups.

| 26 |
CHAPTER 3
4 Forest loss is a feature of many low-income, food-deficit
countries where government investment in agriculture and
forestry is low. Countries that promote AGRICULTURAL
INVESTMENT and VALUE ADDED, and provide ENABLING
INFRASTRUCTURE, have addressed the problem of forest loss
more effectively than those where investment is low.

5 The governance and management of land-use change


requires a MULTIPRONGED APPROACH that includes
coordinated policy development; secure land tenure; effective
law enforcement; targeted economic incentives to promote
sustainable agricultural intensification, sustainable forest
management and social investment in rural areas; strong
stakeholder engagement; publicprivate partnerships;
integrated land-use planning; and adequate monitoring of
land-use change.

6 Where countries have SECURED INVESTMENT in the forest


sector, forest loss is generally lower. Some countries are
investing in forests in ways that help achieve wider social
and environmental goals related to employment, climate
change, land degradation, landscape restoration, and the
resilience of agriculture.

7 Integrated land-use planning is important for creating


a STRATEGIC FRAMEWORK to balance competing land uses
among stakeholders. This framework should encompass
government agencies, local communities, civil society
organizations, and responsible private-sector interests.

| 27 |
CHAPTER 3

THE GOVERNANCE
AND MANAGEMENT
OF LAND-USE CHANGE
3.1INTRODUCTION
governed sphere. The governed sphere
encompasses land-use decisions subject to
formal policies, laws, strategies and
National policies and consequent land programmes and are implemented in
management decisions can significantly affect accordance with legal provisions and prescribed
patterns of land-use change. For example, the processes, with formal central or provincial
expansion of agricultural land may be promoted government approvals or consents. The non-
in response to a need to increase food production governed sphere comprises those decisions on
or agricultural export revenues, and increases in land-use change that are not subject to such
forest area may be promoted as a way of rules, ignore such rules through illegal action,
improving livelihoods, protecting biodiversit y or are taken in the context of unclear or
and delivering environmental ser vices. These contradictor y formal rules.
policies are not necessarily mutually exclusive.
The sound governance and management of land- While this chapter focuses on the governed
use change requires policies that ref lect national sphere and formal policies, the implementation
priorities and that are consistent, based on of formal policies is inf luenced by informal,
reliable evidence, and implemented effectively. context-specific rules based on customar y
Such policies need to be supported by appropriate practice, cultural traditions and other social
tools and methodologies (such as land suitabilit y norms, including those related to gender, class
assessments and land-use planning) to assist and religion. For example, women may have
decision-makers in targeting their inter ventions access to woodfuel and non-wood forest
and to g uide future land use. products, but not to timber. The gender-based
differentiation of ownership and use rights in
This chapter examines the ways in which forests can have major implications for forest
countries address land-use change (from forest to management. Youth may also be disadvantaged
agriculture and from agriculture to forest) in in accessing forest tenure. Informal rules have
their national policies; and it provides an an especially strong inf luence where formal
over view of the use of legal frameworks, policies fail to provide clear g uidance on land-
investments in agriculture and forests, and use change, institutions responsible for policy
institutional mechanisms for implementing implementation are weak, or formal policies do
policies on land-use change. not accommodate the needs of stakeholders.
The non-governed sphere, with its informal
An important distinction exists between rules, is an essential consideration in
decisions on land-use change that occur in the determining the outcomes of policy
governed sphere and those made in the non- inter ventions in the formal sphere. n

| 28 |
STATE OF THE WORLDS FORESTS 2016

3.2POLICIES FOR Some policies identified a need for strategies to


halt or reverse forest loss: these included Ghanas

GOVERNING LAND-USE
forest policy, the land profile report of the Lao
Peoples Democratic Republic, Malis land-use

CHANGE BETWEEN
policy, Rwandas land-use policy, Senegals forest
policy, and Zambias agricultural investment plan

FOREST AND
and forest policy.

AGRICULTURE
Sustainable land use was highlighted in the land
policies of Cambodia, Kenya, Niger, Romania,
Uganda and Zambia. Policy objectives included
the need to increase communit y participation in
The influence of national integrated land-use systems, especially where
agricultural and forest areas are contig uous; the
policies on land-use change enhancement of living standards by taking into
consideration the conditions and requirements of
There is considerable variation between different regions (in a countr y); and the
countries, and between sectors within countries, identification of land areas with natural potential
in the approaches taken to land-use change and for development.
the importance placed on conversion from forest
to agriculture (and vice versa). An analysis of Land-use change is addressed in international
national-level policies in 35 countries 8 showed agreements such as the 2030 Agenda on
that just under half (17) of those countries Sustainable Development and the Paris
explicitly addressed land-use change between Agreement on climate change; signator y
forests and agriculture, and vice versa, in their countries to such agreements will need to ensure
main policy documents; 10 of those countries that sufficient emphasis is given to land-use
addressed the issue in more than one of their change in their national policies and in the
national policies. implementation of existing policies. For example,
77 percent of the INDCs submitted in the context
Figure 3.1 shows that, in the 27 countries whose of the Paris Agreement included forest-related
policy documents addressed land-use change actions and 88 percent included actions in
between forest and agriculture (see also Table A.2 in agriculture. The Convention on Biological
the Annex), this type of land-use change was most Diversit ys Aichi Biodiversit y Targets state that,
frequently addressed in land policies (67percent) by 2020, the rate of loss of all natural habitats,
and forest policies (50percent). Land-use change including forests, should at least be halved and,
was less frequently addressed in national and rural where feasible, brought close to zero (Target 5)
development policies and agriculture policies, and it and that areas under agriculture and forestr y
was seldom addressed in policies on food security. should be managed sustainably, ensuring
biodiversit y conser vation (Target 7). The
European Unions Forest Law Enforcement
8 The Annex lists these countries and those used for analyses presented
in Figures 3.13.5 and provides more detail on the analyses reported in Governance and Trade (FLEGT) initiative aims to
Chapter 3. reduce illegal logging by strengthening

| 29 |
FIGURE 3.1

PERCENTAGE OF 60 NATIONAL POLICY DOCUMENTS (FROM 27 COUNTRIES) ADDRESSING


LAND-USE CHANGE BETWEEN FOREST AND AGRICULTURE, BY POLICY TYPE

67%

50%
44%

36%

14%

Agriculture Forest Land Food security National and rural


development

FIGURE 3.2

FACTORS CONTRIBUTING TO FOREST LOSS, AS STATED (SINGLE MENTION) IN THE FOREST


POLICIES OF SEVEN COUNTRIES EXHIBITING DECREASES IN FOREST AREA AND INCREASES
IN AGRICULTURAL AREA IN 20002010

FACTORS THAT CONTRIBUTE TO FOREST LOSS AS STATED IN (%) DOCUMENTS


AGRICULTURE-RELATED
Agriculture, shifting cultivation 58%
Encroachment, land grabbing 50%
Livestock grazing 33%
Organized exploitation 8%
WOOD AND FOREST-RELATED
Need for forest products (including wood fuel) 50%
Decreasing forest resources 25%
Insecure tenure of forest land 25%
Unsustainable harvesting rates 25%
Forest estate boundaries not clearly demarcated 17%
Forest fires 17%
Illegal logging 8%
Shortage of timber 8%
SOCIAL, GOVERNANCE-RELATED
Population growth 42%
Settlements, industrial development 42%
Increasing poverty 33%
Uncoordinated law enforcement, weak judicial systems 25%
High demand for land 17%
Civil conflict 8%

| 30 |
STATE OF THE WORLDS FORESTS 2016

sustainable and legal forest management, Differences in priorities


improving governance, and promoting trade in
legally produced timber. Countries are also
and objectives between
making commitments to other initiatives that agriculture and forest policies
promote the goal of zero deforestation, including
the 2014 New York Declaration on Forests, which In any given sector, policy priorities are
has been endorsed by 36 national governments, established in light of issues relevant to that
53 companies and 54 civil societ y organizations. sector. It is unsurprising, therefore, that an
analysis of 34 sectoral policies in 18 countries
(Fig ure 3.3) found that forest policies most
Causes of forest loss frequently gave priorit y to maintaining or
increasing forest area. Most (17 out of 19, or
identified in policies 89percent) of the analysed forest policy
documents had explicit policy objectives to
Recognition of the causes of forest loss is a increase forest cover or prevent deforestation. For
crucial first step in developing effective example, Cambodias forest policy noted that
policies. The analysis of policy documents large areas of unmanaged forest are at a high risk
revealed that the conversion of forests to other of forest degradation and conversion to other
land uses is more likely to be identified as a land uses and highlighted the need for legal
problem in forest policies than in the policies of recognition of communit y forests, including
other sectors. forest concessions in communit y areas, to reduce
the ease with which they can be converted to
Polic y documents in Zambia state that alternative land uses. Although 11 out of 15, or
deforestation is caused primarily by 75percent of the agricultural policy documents
ag ricultural expansion into forest land. Polic y analysed referred to forests, few made specific
documents in Cambodia, Ghana and Kenya statements on, for example, targets for land-use
state that inappropriate land-use practices and change. Fig ure 3.3 compares the policy priorities
env ironmental policies have encouraged land of agriculture and forest policies in 18 countries.
frag mentation, the extension of urban
development into ag ricultural land, Fig ure 3.4 shows that the benefits of forests most
deforestation, and encroachment into frequently cited in agriculture policies that
catchment areas and wetlands. referred to forests (those of ten countries) were
the use of non-wood forest products for food and
The forest policy documents of seven animal feed; protective measures for crops and
countries that had experienced decreases in soils; carbon sequestration; and improving
forest area and increases in agricultural area irrigation and protecting watersheds.
from 2000 to 2010 were examined in more
detail to shed light on the causes of forest loss, Some agriculture policy documents recognized
as stated in forest policies. Fig ure 3.2 shows the advantages for agriculture of afforestation
that agriculture (including shifting and agroforestr y, and several mentioned mixed
cultivation, encroachment, land grabbing and forestagriculture systems. In addition to the
livestock grazing) was recognized as a benefits shown in Fig ure 3.4, reasons given in
contributing cause to forest loss in the forest agriculture policy documents for planting trees
policies of all seven countries, and the included the provision of energ y from biomass
conversion of forest to agricultural land was and the creation of additional sources of income
seen as instigated by both corporate and for rural people.
smallholder farmers. The documents variously
identified demand for forest products, The policy documents of nine countries were
population growth, povert y, and development analysed for their strategic approaches to
as other causes of forest loss. agricultural growth and increased food

| 31 |
FIGURE 3.3

PRIORITIES LISTED IN 34 AGRICULTURE AND FOREST POLICIES IN 18 COUNTRIES


Science and technology
Sciencetrade
Increase and technology
and markets
POLICY PRIORITIES Increase trade and markets
Fulfil international agreements
Fulfil international agreements
Governance
POLICY PRIORITIES

Governance
Poverty reduction
Poverty
Economic reduction
development
Economic development
Sustainable use of resources
Sustainable use of
Sustainable resources
development
Sustainable development
Food security
Climatesecurity
Food change
Climate change
0% 10% 20% 30% 40% 50% 60% 70% 80%
Forest 0% 10% 20% 30% 40% 50% 60% 70% 80%
Forest OCCURRENCE OF KEY PRIORITIES IN POLICIES
Agriculture OCCURRENCE OF KEY PRIORITIES IN POLICIES
Agriculture

FIGURE 3.4

BENEFITS OF FORESTS, AS MENTIONED IN AGRICULTURE POLICIES (TEN COUNTRIES)


REFERENCE TO FORESTS IN AGRICULTURE POLICIES

Agroforestry

Tree cover/planting

NWFPs for food and feed

Irrigation and protecting watersheds

Protective measures for crops and soil

Carbon sequestration

0% 10% 20% 30% 40% 50%

OCCURRENCE IN POLICIES ANALYSED

FIGURE 3.5

STRATEGIES FOR FOOD PRODUCTION IN AGRICULTURE POLICIES (NINE COUNTRIES)

40% 40% 40% 40%


Expansion Expansion
of area of area

Intensified Intensified
productionproduction
Vague, conflicting,
Vague, conflicting, both both 20%
20%

| 32 |
STATE OF THE WORLDS FORESTS 2016

production. Figure 3.5 shows the proportions of agricultural land covering about 20 percent of
strategies for food production in agriculture the land area is the largest contributor to loss
policies involving the intensification of production offorest in Zambia [and] Forestr y
on existing agricultural land, the expansion of Management will target reduction in
arable land, and a mixture of both. In two deforestation due to shifting cultivation and
countries, agricultural policies explicitly promoted agriculture extensification.
intensification to make better use of existing
agricultural land, stating that increased Table 3.1 summarizes the intersectoral
production could be achieved through agriculture coordination measures identified in various t y pes
intensification and sustainable land-use practices. of policy document.
Ghana, for example, has a target of 6percent
annual growth in agricultural production, and the A number of policies including Burkina Fasos
agriculture policy states that increased rural development programme, Burundis forest
productivity rather than land expansion has to be policy and Ugandas National Forest Plan
the main source of this growth. 2011/20122021/2022 and National
Development Plan 2010/20112014/2015 have
On the other hand, three of the nine countries specific chapters or subchapters on
promoted an expansion in the area of agricultural harmonization with the policies of other
land, which could put further pressure on forests, sectors, such as agriculture, national
and the policies of the other four countries were development and povert y reduction. Several
either vag ue on this issue, had conf licting documents refer to the creation of
messages, or advocated both approaches. To multistakeholder or interministerial committees
achieve agricultural growth without driving or similar bodies to facilitate or improve
deforestation, more agricultural policies should coordination. Rwandas forest policy sets out
explicitly promote sustainable intensification of defined tasks, together with a budget and
agriculture as their main approach to meeting timeframe, for intersectoral cooperation; and
production objectives Zambias land policy has a budget and
timeframe for developing communit y
participation in integrated land use. The forest
Achieving policy coordination policy of the United Republic of Tanzania
highlights the value of coordination, stating
Many of the assessed countries have sustainable that sustainable forest management is
land-use objectives that can only be impacted by a number of cross-sectoral issues
implemented through integrated approaches, both at management and institutional levels,
with coordination between the forest, agriculture which require new partnerships to find new
and other natural-resource sectors. Achieving innovative solutions.
such policy coordination remains a challenge,
however. While most policy documents analysed Complexities in the governance of land-use
mentioned the value of policy harmonization and change could be reduced if policies of potentially
cooperation between relevant sectors in general competing sectors, such as forests and
terms, relatively few gave details to demonstrate agriculture, were harmonized and coordinated at
that this had been considered in depth through, the national level. Sectoral policy priorities tend
for example, clear statements on institutional to be internally focused, but the setting of cross-
arrangements for policy coordination or targets sectoral policies could address this constraint.
for land-use change. Only 28 percent of the Tools for helping coordinate approaches for
policy documents analysed showed clear achieving sustainable land-use objectives set out
evidence of coordination between agriculture in the policy documents included land-use
and forest-related interests on land-use change. planning, land zoning, the reg ulation of land-use
On the other hand, a good example was change, the demarcation of forest boundaries,
Zambias agriculture policy, which stated that and tenure reform. n

| 33 |
TABLE 3.1

EXAMPLES OF COORDINATION BETWEEN SECTORS, AS EVIDENT IN SECTORAL POLICIES


SECTORS CITED FOR
SECTOR/POLICY TYPE COORDINATION MEASURE
COORDINATION

AGRICULTURE Rural development, Secretariat/programmes for coordination of sectoral policies


forestry, land Revision of other sectors policies and legislation to align with
management, environment agriculture policy objectives
Reforms to harmonize the conflicting legal rights and objectives in
the national land policy
Formal recognition that effective implementation needs intrasectoral
and intersectoral coordination

FOREST Agriculture, land use, Development of a planning and implementation framework to


industry, energy, tourism, harmonize forestry with other national economic sectors and
food security, others coordinate programme implementation
Use of multistakeholder consultations, technical working groups,
technical assistance and partners
Cross-sectoral, holistic land-use planning that promotes coordination
among jurisdictions and across local government borders and avoids
overlapping claims on forest land
Harmonization with national land demarcation programmes

FOOD SECURITY Agriculture, forests, Participatory management of policy actions through the creation of
nutrition, water multisectoral and multistakeholder management bodies
Policy coordination and coherence through the alignment ofpolicies
and action plans with other relevant food security and nutrition
policies
Commissions or interministerial committees to improve national
dialogue on food security

NATIONAL Agriculture productivity, Measures to prevent land-use change between forest and agriculture
DEVELOPMENT land, fisheries, forestry

FIGURE 3.6

CHANGES IN MANAGEMENT RIGHTS TO PUBLICLY OWNED FORESTS, 19902010

100%
3%
9% 12%
90% 15%

80%

70%

60%

50% 95%
89% 86%
40% 82%

30%

20%

10%

0%
1990 2000 2005 2010

Other Private business

Communities Public administration

SOURCE: FAO, 2015a.

| 34 |
STATE OF THE WORLDS FORESTS 2016

3.3LEGAL
The situation is further complicated on the
ground if existing customar y laws that define the

FRAMEWORKS FOR
common rules and practices of rural communities
are not recognized. This increases the risk of land

LAND-USE CHANGE
tenure insecurit y and the potential emergence of
land disputes.

FROM FOREST The recognition of customar y rights may be

TO AGRICULTURE:
especially important for v ulnerable forest-
dependent people, who may lack secure land

COMPLEXITIES
tenure and depend on the common-propert y
resources provided by forests for their

AND CHALLENGES
livelihoods. In the absence of mechanisms to
recognize tenure rights, including customar y
rights, there is an increased likelihood of land
The effective governance of land-use change disputes caused by overlapping titles and claims
relies on the use of legal instruments to to interests in land.
implement national policy objectives. At the
global level, there is a lack of comprehensive The Voluntary Guidelines on the Responsible
and consistent information on legal frameworks Governance of Tenure of Land, Fisheries and
related to the conversion of forest to Forests in the Context of Food Security (FAO,
agricultural use. The preliminar y analysis 2012d), which member countries of the
presented below reveals significant differences Committee on World Food Securit y adopted in
between legal frameworks in use around the 2012, include clear g uidance on ensuring that
world (and their implications for land tenure); governance frameworks recognize and
provides examples of legal provisions related to respect, in accordance with national laws,
the conversion of forests to other uses; and legitimate tenure rights including legitimate
highlights the importance of consistency, customar y tenure rights that are not currently
clarit y and effective law enforcement in protected by law; and facilitate, promote and
preventing illegal deforestation. protect the exercise of tenure rights. Such
frameworks should be non-discriminator y,
and they should promote social equit y and
Legal frameworks gender equalit y. The process of establishing
policies and laws should be participator y and
Legal frameworks for reg ulating land-use gender sensitive and should strive to provide
change var y between countries and are usually technical and legal support to affected
complex, making international comparisons communities and individuals.
difficult. Their complexit y depends on the gaps
and inconsistencies within and between sector- T here a re sig n i f ica nt d i f ferences bet ween
specific legislations, and affects in particular cou nt r ies i n t he propor t ions of forest u nder
the procedures for changing the use of forest d i f ferent t y pes of ow nersh ip, a nd t he
land and the attribution of permits for clearing a ssoc iated la nd-use r ig hts. I n 2010, 74 percent
forests. Furthermore, it can be difficult to of t he g loba l forest a rea wa s publ icly ow ned
ensure compliance with the relevant legal a nd 19 percent wa s pr ivate, w it h t he rema i n i ng
framework in the absence of a national land-use a rea of u n k now n or u n repor ted ow nersh ip.
plan. A lack of strong and functional Fig u re 3.6 shows, however, t hat t he propor t ion
institutions represents another major gap, as of publ icly ow ned forest u nder publ ic
without such institutions operators may apply ad m i n ist rat ion decl i ned bet ween 1990 a nd
their own rules without any g uarantee for third 2010 a nd t he propor t ion a l located to pr ivate
parties and national interests. busi ness i nc rea sed.

| 35 |
TABLE 3.2

EXAMPLES OF REASONS FOR ALLOWING FOREST CONVERSION AND RELATED CONDITIONS


REASON FOR ALLOWING
COUNTRY AND LAW REFERENCE CONDITIONS
FOREST CONVERSION

Public interest, when there are significant socioeconomic benefits for the country and/or livelihoods

Lao Peoples Democratic Republic (Forestry


The proposed land-use change should be included
Law No. 06/NA. Date of text: 24
in the national socioeconomic development plan
December 2007, Article 70)

Colombia (Resolucin No. 629: Requisitos


y procedimiento para la sustraccin de The proposed land-use change should advance a
reas de reserva forestal para programas programme of agrarian reform or rural
de reforma agraria y desarrollo rural. development
Date of text: 11 May 2012)

Agricultural, mining, industrial, urban, tourism and other purposes

A deforestation permit is required to clear forest.


Democratic Republic of the Congo (Loi
For agricultural activities, the permit is only
No. 11-2002 portant Code forestier.Date
required where deforestation covers at least
of text: 29 August 2002, Articles 53, 54)
2 hectares

Existing investment project already approved by a competent state agency

Viet Nam (Decree No. 23/2006/ND-CP


Requirements include an environmental impact
on the Implementation of the Law on Forest
assessment report; compensation for forest ground
Protection and Development.
clearance; and reforestation of a different area
Date of text: 3 March 2006, Article 29)

FIGURE 3.7

TYPICAL STAGES OF A PROCESS FOR DECLASSIFYING A FOREST AREA BEFORE PERMITS FOR
CONVERSION MAY BE ALLOCATED

Required to Usually an ad
Classification of ENVIRONMENTAL
LAND assess EXPERT hoc committee or
COMPENSATION an equivalent area IMPACT
socioeconomic OPINION commission gives
of land ASSESSMENT
impacts final approval

| 36 |
STATE OF THE WORLDS FORESTS 2016

Legal provisions relating Importance of consistency,


to the conversion of forests clarity and effective
to agriculture law enforcement
Most countries prohibit the clearing of forests in The analysis of legal documents suggests that
protected areas (e.g. national parks, wildlife legal provisions related to land-use change are
reserves and protected water catchments), not always harmonized or coordinated between
although clearing may be permitted if deemed to sectors. For example, while provisions related to
be in the public interest.9 More generally, legal the conversion of forests are most commonly
provisions related to the conversion of forest land made in forest laws, there may be relevant
to agricultural use typically prescribe the reasons provisions in land laws and agriculture laws, and
that may justify conversion, the associated there is a risk that the various provisions are
conditions, and the institution(s) responsible for inconsistent or even contradictor y.
implementing and enforcing the law. General
provisions pertinent to the conversion of forests to The analysis of legal documents also revealed
agriculture may be contained in the primary law, that provisions related to land-use change
but the detailed conditions and rules for permits can lack detail and clarit y, with the potential
and concessions, and administrative procedures, that this will lead to confusion and increased
are more usually set out in implementing decrees illegal activit y. Therefore, provisions for the
and regulations, and an analysis of procedural forest declassification process (for example)
details is needed to fully appreciate the level of should give sufficient detail about procedures;
protection afforded. Table3.2 presents examples of expert committees with responsibilit y for
cited reasons for allowing forest conversion, and decisions on the declassification of forest land
related conditions. should have clear scientific criteria as the
basis for their decisions; and there should be
In countries where forest land may only be clear provisions for stakeholder consultation.
converted to agriculture if it is declassified, the Permits and concessions that authorize forest
procedures for such declassification are crucial. clearing should include specific provisions to
Fig ure 3.7 outlines the t ypical stages of a prevent the use of methods that cause
declassification process, involving the environmental damage or ignore the rights
classification of an equivalent area of land as ofcommunities.
compensation, an environmental impact
assessment, and subsequent decisions on the A comprehensive and exhaustive legal and
granting of approval. The requirement for an reg ulator y framework cannot, in itself, prevent
environmental impact assessment is common illegal forest conversion. While clear procedures
when investors acquire forest land and wish to and mechanisms are essential, they are of little
convert it to agriculture. Countries with such value if they are unenforced or implemented
requirements include Cambodia, Cameroon, ineffectively. Box 3.1 and Box 3.2 highlight
Gabon, Ghana, Indonesia and Viet Nam, and the challenges to implementation and enforcement in
countries of the European Union. the Congo Basin and Papua New Guinea. n

9 Public interest is seldom defined in forest legislation, however, and


may be interpreted differently in different countries.

| 37 |
BOX 3.1

IMPORTANCE OF LAW ENFORCEMENT IN PREVENTING


ILLEGAL FOREST CONVERSION
The independent monitor for voluntary partnership though the Forestry Code makes such a study a
agreements under the European Unions Forest Law requirement for projects involving deforestation. The
Enforcement, Governance and Trade (FLEGT) initiative Independent Monitor in the Republic of the Congo (a
has highlighted the risks of illegality in the Congo unit established by the Congolese government in 2007
Basin linked to the lack of enforcement of existing to oversee the implementation of the forest legislation)
laws. A report on three deforestation permits signed in also reported non-compliance with basic conditions for
June2013 noted that, among other breaches, no the issuance of deforestation permits due to the failure
environmental impact study had been carried out, even to provide an environmental impact assessment.

SOURCES: Report No. 01/CAGDF, mission of 623 April 2014, pp. 1011; Report No. 016/REM/CAGDF/FM Independent
Observation-FLEG, mission report, November 2012.

BOX 3.2

EXAMPLE OF LEGAL PROVISIONS ON FOREST CONVERSION,


AND IMPLEMENTATION CHALLENGES, IN PAPUA
NEW GUINEA
LEGAL PROVISIONS approval or denial of the application. If the Board is
Papua New Guineas Forestry Act, 1991, includes satisfied with the recommendation and the outcome of
provisions related to the large-scale conversion of the public hearing, it recommends accordingly to the
forest to agricultural or other land uses. Where the minister, and then to the National Executive Council,
proposed clearance is more than 50 hectares in size, that the application for conversion of forests to
applications must include: agriculture or other land use be endorsed.
a detailed development plan, evaluation report
and certificate of approval from the relevant SOURCE: Forestry Act, 1991, FAOLEX No: LEX-FAOC022285.
government department;
an implementation schedule for the agricultural IMPLEMENTATION CHALLENGES
or other land-use project, showing the precise
areas and proposed rate of harvesting to be A recent study showed that, since 2007, 5 million
carried out; hectares of forests (representing 16 percent of the
detailed costs of the project and a bank accessible commercial forest area in the country) had
certificate certifying that the full costs of funding been licensed for conversion to large-scale agricultural
the project will be available to the applicant; plantations in Papua New Guinea, consisting mostly of
a map and description of the project area oil palm (but also cocoa and other crops). According
showing any areas with slopes in excess of 30, to the study, numerous protests by local landowners
any other areas unsuitable for agricultural or and a series of exposs by non-governmental
other land-use development, and any areas organizations led the government to institute a
important for conservation; Parliamentary Commission of Inquiry in 2012. The
verification of ownership and the consent of each results of the inquiry were that, of 42 special-purpose
resource-owning clan agent; and agricultural business leases examined, only four had
approval of the environmental impact statement proper landowner consent and viable agricultural
by the department responsible for environment projects. The remainder, or more than 90 percent, was
and conservation matters. obtained through fraudulent or corrupt means. The
study noted that, of 36 oil-palm plantation projects,
When an application is submitted, the provincial forest only five were likely to be actually planted, while the
management committee makes recommendations to the rest were most likely simply covers for obtaining
National Forest Board (which also includes valuable timber.
stakeholders from the private sector and local
government, and a representative of women) for SOURCE: Forest Trends, 2014.

| 38 |
STATE OF THE WORLDS FORESTS 2016

3.4INVESTMENTS IN agriculture policies (Angelucci et al., 2013;


Demeke et al., 2013), many low-income, food-

AGRICULTURE AND
deficit countries also suffer from a lack of
investment in complementar y agricultural

FORESTS AND THEIR


infrastructure and financial ser vices, such as
processing, distribution and marketing. These

IMPACTS ON LAND USE


countries mainly use input subsidies and other
budgetar y transfers to support producers and
make only minimal efforts to address
Impacts of investments inefficiencies in the commodit y value chain.
Continued government spending aimed solely at
in agriculture increasing production without addressing such
inefficiencies could result in an expansion of the
For many developing countries, particularly low- area under agriculture potentially at the
income, food-deficit countries, agriculture is the expense of forests without significantly
largest sector in terms of both employment and improving food securit y.
share of gross domestic product (GDP), which
can be as high as 30 percent. In such countries, Government spending on agricultural support
public spending on agriculture is an important ser vices is particularly low in sub-Saharan Africa
policy instrument for promoting agriculture (FAO, 2012c, 2015c), but there has been
growth and food securit y (FAO, 2012c). considerable progress in providing such ser vices
According to FAOs Agriculture Orientation in Asia and Latin America and the Caribbean. For
Index 10 (FAO, 2015c), however, agricultural example, nearly all countries in Asia have
expenditure as a proportion of its contribution to specialized banks ser ving agriculture. In India,
GDP is declining in many of these countries. loans to agriculture increased at a compound
Povert y and hunger, perpetuated by a lack of annual growth rate of 18.5 percent between 2005
economic opportunit y, force poor people to and 2010. A sharp growth in the number of rural,
exploit the natural resources around them. Forest cooperative and other banks has significantly
loss, therefore, is a chronic feature in many low- increased the volume of agricultural loans in
income, food-deficit countries where government China. China and India together accounted for
investment in agriculture is low. Fig ure 3.8 shows nearly half the global increase in spending on
that the loss of forest cover is greatest in public agricultural research and development
countries with a low Agriculture Orientation between 2000 and 2008. In addition to
Index and that these are also low-income strengthening extension ser vices for smaller
countries. This finding is in conformit y with producers, many countries in Latin America and
earlier studies that identified subsistence the Caribbean promote trade through product
agriculture and large-scale commercial differentiation and other value-added activities.
agriculture as significant causes of deforestation Since 1981, however, production growth in sub-
in some countries and regions. Saharan Africa has been based almost entirely on
extending the area under cultivation (UN, 2008).
Countries that promote agricultural investment
and value added and support enabling
infrastructure have mostly been able to address
forest loss more effectively. According to FAOs
recent comprehensive analysis of food and

10 See the annex for definitions of Agriculture Orientation Index,


government expenditure on agriculture, Human Development Index,
investment, poverty headcount ratio, poverty gap, public-sector expenditure
on agriculture and forestry, and subsidy.

| 39 |
CHAPTER 3 THE GOVERNANCE AND MANAGEMENT OF LAND-USE CHANGE

Linking agricultural scale commercial agriculture and where there is a

investment with high risk that such investment will lead to forest
loss (Committee on World Food Securit y, 2015).
environmental compliance There is growing interest in improving the
and performance standards efficiency of agricultural subsidy programmes by
changing their design from universal coverage to
Adjusting support for commercial agriculture by more targeted approaches (Demeke et al., 2013;
introducing environmental safeg uards such as Angelucci et al., 2013). The rules and criteria now
cross-compliance measures can help avoid forest being applied to ensure that subsidy programmes
loss, especially in those countries where large- and other budgetary allocations are efficient,
scale agricultural subsidies have had a significant effective and equitable in the long run include
impact on deforestation (see Chapter 2). environmental compliance and performance
Commercial agriculture has led to forest loss in, standards (e.g. relating to deforestation and
for example, Argentina, Brazil, the Democratic poverty alleviation). It is estimated that a single
Republic of the Congo, Ecuador, Indonesia, reform in Brazil linking rural credit subsidies to
Mozambique, Myanmar, Nigeria, the United environmental criteria saved US$1.4 billion in
Republic of Tanzania, Venezuela (Bolivarian reduced loans in 20082011; moreover, without
Republic of ), and Zimbabwe (Rudel et al., 2005; this reform an estimated 270 000 additional
Boucher et al., 2011). Agricultural subsidies hectares of forest would have been lost due to
increase the profitabilit y of the commodities they increased beef production (McFarland, Whitley
support (by making them cheaper to produce) and Kissinger, 2015). Brazils Bolsa Verde, an
and attract investors. This leads to pressure to example of a conditional cash-transfer programme,
expand agricultural land, potentially at the has the objective of conserving Brazils important
expense of forests. Examples include industrial- forest ecosystems and simultaneously improving
scale cattle ranching and soybean production in the livelihoods of people living in extreme poverty
the Amazon, and commercial oil-palm (nearly 17percent of people in the Brazilian
plantations in Southeast Asia (McFarland, Amazon). Thousands of forest-dependent poor
Whitley and Kissinger, 2015). Combined, Brazil families receive financial benefits through Bolsa
and Indonesia paid more than US$40 billion in Verde in return for a commitment to maintain
subsidies to the palm-oil, timber, soy, beef and vegetation cover and sustainably manage natural
biofuel sectors in 20092012 (Kissinger, 2015); resources (Brazil, 2014).
those two countries also accounted for over half
of the total global forest loss in 1990 2010. In
some countries, such as Mozambique,
deforestation is occurring as a result of
Impact of investments
simultaneous pressures exerted by subsistence on forests
farming and commercial agriculture.
Public expenditure on forests is a good
Producer subsidies for large-scale commercial indicator of a countr ys commitment to
agriculture do not in themselves always lead to sustainable forest management. Because the
deforestation. In China and the United States of majorit y of the worlds forests are publicly
America, for example, agricultural subsidies are owned, public-sector finance is a major source
high but forest area is increasing in both of funding for forestr y activities, especially
countries; this is also the case in some smaller those focused on social and environmental
countries, for example in the European Union. benefits. In several countries, however, public
Reg ulator y frameworks are needed to mitigate expenditure on forests is disproportionately
the potential negative social and environmental low compared with the forest sectors
impacts of agricultural subsidies, especially in contribution to GDP, and this has contributed
countries that are attractive to investors in large- to deforestation.

| 40 |
FIGURE 3.8

RELATIONSHIP BETWEEN INVESTMENT IN AGRICULTURE, CHANGE IN FOREST AREA,


AND POVERTY
25.00
GROWTH RATE (%) IN FOREST AREA (1990-2015)

20.00

15.00

10.00

5.00

0.00
0.20 0.40 0.60 0.80 1.00 1.20
-5.00

-10.00

-15.00

-20.00

AGRICULTURE ORIENTATION INDEX (AVERAGE 20012012)

Low income Upper-middle income

Lower-middle income High income

Note: Size of the bubbles represents the Poverty Head Count Ratio.
SOURCE: FAO, 2015a, 2015b.

FIGURE 3.9

PUBLIC EXPENDITURE ON FORESTS, FOREST GROWTH RATES, AND THE FOREST SECTORS
CONTRIBUTION TO NATIONAL GROSS DOMESTIC PRODUCT
30.00
GROWTH RATE (%) IN FOREST AREA (1990-2015)

20.00

10.00

-1.00 0.00 1.00 2.00 3.00 4.00 5.00 6.00 7.00 8.00

-10.00

-20.00

-30.00

AVERAGE ANNUAL PUBLIC EXPENDITURE ON FORESTS/HA IN US$ (20002010)

Low income Upper-middle income

Lower-middle income High income

Note: Size of the bubble represents forest sectors contribution to GDP in 2011.
SOURCE: Based on FAO, 2015a.

| 41 |
CHAPTER 3 THE GOVERNANCE AND MANAGEMENT OF LAND-USE CHANGE

Fig ure 3.9 shows that, in low-income countries, generate incremental benefits for local people.
the forest sectors contribution to GDP is Policies in the Gambia, for example, were
relatively high but public expenditure on forests designed to strongly incentivize local
is low; this was also the finding of an analysis of communities to assume greater responsibilities
forest-sector public expenditures by Fowler et al. and make stronger commitments to managing
(2011). In such countries, therefore, forests are forests sustainably. In Viet Nam, government
exploited to generate revenue for the state, with support for the development of local forest
little reinvestment and a loss of forest area. An enterprises constitutes a good example of forest-
additional pressure in such countries is high based rural development.
woodfuel demand. In high-income countries, in
contrast, public expenditure on forests and While there is wide variation in the nature and
associated rural development programmes is scale of forest investment strategies, the two
relatively high, and forest area is increasing. major approaches used by countries are: 1) direct
High-income countries also have the largest public-sector investment; and 2) measures to
share of global forest area designated for create and reinforce a favourable enabling
production, and most of that production is environment with the aim of attracting and
concentrated on high-value products the channelling private-sector investment in forests.
majorit y of global value added in the forest sector These two approaches are discussed below.
is in developed countries (FAO, 2014c). The
contribution of the forest sector to total
employment is also higher in developed countries
because of the large number of people employed
Direct public investment
in further processing, and labour productivit y is programmes in forestry
higher. On the other hand, despite abundant
forest resources, sub-Saharan Africa accounts for Robust, long-term direct public investment
an insignificant share of global value added in programmes have helped some countries arrest
forest products; labour productivit y is also low in deforestation caused by agricultural expansion.
the region. China, Eg y pt, India, Iran (Islamic Republic of ),
Kuwait, Mexico, Morocco and Tunisia, for
Comprehensive global data are unavailable on example, have all launched national afforestation
the incentive mechanisms employed by countries or forest rehabilitation programmes. Greater
to promote forestr y, making it difficult to analyse political priorit y has been given to forests in
the links between such mechanisms and land-use those countries as a result of concern that further
outcomes. A review of relevant literature and case forest degradation would lead to increased costs
studies conducted for this report, however, in the future. China budgeted more than US$40
indicates that, in some countries, specific billion for one of its programmes, the Sloping
financial mechanisms have succeeded in Land Conversion Programme, which aimed to
arresting deforestation or increasing forest area. convert 14.67million hectares of cropland to
The review also suggests that those countries forests as part of a massive afforestation drive
have become increasingly sophisticated in their (Bennett and Xu, 2005). Major afforestation and
approaches to funding for forestr y. There is reforestation programmes have been underway in
growing realization that innovative investments India since the enunciation of the 1988 forest
in forests can help achieve major public policy policy, which included an objective of increasing
and economic goals, such as mitigating climate the countr ys forest and tree cover to one-third of
change, combating land degradation, promoting the land area. For example, the Green India
landscape-scale restoration, enhancing the Mission has set aside a budget of US$10.1 billion
resilience of agriculture, and providing additional to increase forest area by 5million hectares by
income and jobs for local communities. Policy 2020 (Gregersen et al., 2011).
incentives to promote communit y forestr y and
small and medium-sized enterprises have helped

| 42 |
STATE OF THE WORLDS FORESTS 2016

Complementarit y between rural development and 2011). Investor apprehensions about investing in
crucial environmental goals has made investment forests have been eased by measures such as
in forests a logical solution to povert y in insurance; price and purchase g uarantees; the
countries such as Bhutan, the Gambia, Ghana, promotion of publicprivate and privateprivate
India, Mexico and Viet Nam. In many developing partnerships; and improved access to financial
countries, forests and trees ser ve as major and market ser vices and information.
sources of livelihood, particularly for the poor
and women, meeting subsistence needs, Latin America has led the way among
generating cash income and ser ving as economic developing countries in promoting private-
safet y nets in critical periods. Forest sector forest investment (Fig ure 3.10). The high
degradation can have direct negative effects on proportion of private forest ownership in the
v ulnerable people and lead to severe social unrest region is one of the factors behind this trend.
and conf licts, and recognition of this has led to Latin American countries have also pioneered
active processes of integrating forestr y into fiscal instruments, such as payments for
povert y reduction and rural development environmental (or ecosystem) ser vices (PES),
strategies (Gregersen et al., 2011; Kissinger, designed to encourage better environmental
2015). Gender-differentiated tasks and stewardship. Other strategies include the
responsibilities in food production and provision establishment of dedicated national forest funds
and the generation of cash income often mean and the promotion of new alliances through
that women and men have different needs, portfolio approaches to leveraging funds. In
opportunities, priorities and concerns. Although Urug uay, for example, the forest plantation area
women tend to commercialize forest products less increased by about 40 000 hectares in 2008
than men, the sale of forest products can be an 2011, representing an estimated annual
essential source of cash income for women, who investment of US$48 million.
lack many of the opportunities for generating
cash income commonly available to men New instruments and capital market investments
(Sunderland et al., 2014). The REDD+ Gender have emerged that allow forest owners to
Strateg y aims to help forest communities, monetize their forest assets and enhance their
indigenous peoples and women participate in the income, for example through the forest-backed
design, monitoring and evaluation of REDD+ securitization of investments (FAO, 2015d).
programmes and to ensure that funds and Riskinsurance mechanisms have been developed
benefits are equally accessible to low-income in cooperation with investment banks and
women and men who manage the forests integrated into national financial services. The
(UN-REDD, 2013). objectives of such measures include reducing
upfront establishment costs, providing liquidity,
and mitigating risk and uncertainty. In Costa
Creating enabling Rica, for example, forest and financing
environments for private- stakeholders are pursuing instruments such as
microcredit, repurchase agreements, and the
sector investment in forestry securitization of forest-based cash flows to
improve financing for small-scale forestry (FAO,
Many countries have created successful enabling 2015c). Small-scale enterprises may also require
environments for increased private-sector assistance in strengthening their associations and
investment in forestr y. Favourable investment cooperatives to increase their negotiating power,
policies have performed important leveraging advocacy and access to markets and credit. n
functions in boosting private-sector investments
in, for example, Chile, China, Costa Rica, Turkey,
Urug uay and Viet Nam. Targeted incentives
include subsidized credit, import subsidies, and
tax breaks to promote forestr y (Gregersen et al.,

| 43 |
FIGURE 3.10

TOTAL PRIVATE FOREST PLANTATION INVESTMENT IN DEVELOPING COUNTRIES, 2011

1 600
1 464

1 400

1 200

1 000
US$ MILLIONS

800

600

400
279

200
20
0
Latin America Asia & Oceania Africa

SOURCE: Castren et al., 2014.

FIGURE 3.11

MINISTRY WITH MAIN RESPONSIBILITY FOR FOREST POLICY, 2008

80

70

60
NUMBER OF COUNTRIES

50

40

30

20

10

0
Agriculture, not Environment, not Other Both agriculture
environment agriculture and environment

Without forestry in title With forestry in title

SOURCE: FAO, 2010.

| 44 |
STATE OF THE WORLDS FORESTS 2016

3.5INSTITUTIONAL has the advantage of a multifunctional


perspective in which natural resource

MECHANISMS
management is integrated with environmental
and livelihood considerations. Such

FOR GOVERNING
multifunctionalit y may include climate-change
adaptation measures aimed at enhancing the

LAND-USE CHANGE
natural resilience of ecosystems and reducing the
v ulnerabilit y of people by maintaining
environmental ser vices (FAO, 2013c).

Land-use planning Tools and methodologies such as maps, databases


and land suitabilit y appraisals are available to
Land-use planning is an institutional mechanism assist integrated land-use planning on the most
employed by countries to balance competing land appropriate t y pes of land use for given areas. At
uses among stakeholders. It involves the the national level, capacit y for the interpretation
systematic and iterative assessment of land and of remote sensing data and the provision of
water potential in order to select and adopt the credible and transparent information can be used
best land-use options and to create an enabling to help design land-use incentives. Unif ying the
environment for the sustainable development of databases that support decisions on land use can
land resources. The aim is to select and put into help prevent inconsistent approaches to land-use
practice those land uses that will best meet the planning among different government agencies.
needs of the people while safeg uarding resources Brazil, for example, developed a map of public
for the future and empowering people to make forests in 2006 that brought together a wide
decisions about how to allocate those resources range of land-related information, from mining
(FAO, 1993; FAO and United Nations permits to social settlements, for use in the
Environment Programme, 1999). formulation and implementation of public
policies. Indonesia approved its One Map
Effective land-use planning is challenged when initiative in 2014 (see Box 3.3) for a similar
different line ministries and agencies at both purpose as part of its REDD+ strateg y.
the central and decentralized levels undertake
their own land-use planning using separate Another challenge for land-use planning is to
processes, information and maps. Thus, while balance scientific and technical considerations
plans may exist for forests, agriculture and other (such as those related to soil capabilit y, land
sectors, the links between them may be weak. suitabilit y, topography, watersheds, ecological
The risk of uncoordinated approaches is greater importance, proximit y to cities, and minerals)
when forests and agriculture are under the with the needs and demands of local
jurisdiction of different ministries; Fig ure 3.11 stakeholders. Whereas technocratic approaches
shows that this is not uncommon. were predominant in the 1980s and 1990s,
participator y and stakeholder-centred
The difficult y of coordinating land-use and methodologies are now more common (FAO,
watershed management planning is an issue that 2015e; BMZ, 2012). Adequate platforms and
affects both developing and developed countries. consultative instruments are needed for effective
A recent review of western European countries multistakeholder participator y processes.
concluded that, despite the importance of
coordination between forest planning and
planning in other sectors, the plans concerned Monitoring and enforcement
were barely consistent with each other in all the
countries studied (Cullotta et al., 2014). A Participator y cross-sectoral land-use planning
landscape approach, as promoted by the Global processes are necessar y for sustainable land use
Partnership on Forest and Landscape Restoration, and for balanced decisions on forest conversion,

| 45 |
BOX 3.3

INDONESIAS ONE MAP INITIATIVE


The aim of Indonesias One Map initiative is to cover map, a national sea grass/shallow
help resolve disagreements arising from the use of waterbed map, a national maritime characteristics
different data and maps, such as overlapping map, and a provincial mangrove map of
permits for plantation and mining operations. The Sumatra. Accurate and up-to-date geospatial
Geospatial Information Agency has published a information will also help the government in
basic geospatial information map for use by drafting policies, resolving land disputes and
government agencies, along with a national land- managing its assets.

SOURCE: Salim, 2014.

BOX 3.4

BRAZILS RURAL ENVIRONMENTAL REGISTRY


Brazils Rural Environmental Registry (CAR) was possessor fails to comply with environmental
established in the new Forestry Code (Federal regulations, they become subject to
Law No. 12,651/2012). It is a public registry administrative, civil and criminal liabilities.
system; persons who possess or own rural land Under the Forestry Code, commercial banks will
must register with it. The owner or possessor of be required as of May 2017 to request
rural land must certify their intent to comply rural landowners and possessors to provide
with environmental regulations related to their proof of registration with CAR before granting
rural property. If the rural landowner or agricultural land loans.

TABLE 3.3

COMPARISON OF COUNTRY CAPACITIES FOR FOREST AREA CHANGE


MONITORING WITH THE QUALITY OF REPORTED DATA ON DRIVERS DERIVED
FROM THE REDD+ READINESS REPORTS OF 45 COUNTRIES
COUNTRY FOREST AREA CHANGE MONITORING CAPACITY

Quality of reported driver data Low Medium High Total

Low (listing) 8 7 3 18
Medium (ranking) 3 10 2 15

High (quantitative) 2 4 6 12

TOTAL 13 21 11 45
SOURCE: Kissinger, Herold and De Sy, 2012.

| 46 |
STATE OF THE WORLDS FORESTS 2016

but they may be insufficient on their own. provided baselines for a number of private
Limited capacit y, asymmetric information and governance agreements, including the soy and
the misuse of public power can all hinder the cattle moratoria.
implementation of land-use plans. A recent study
(Forest Trends, 2014) found that a ver y significant
proportion of land conversion is illegal, either in
violation of laws related to the issuance of
Engagement with civil society
licences or in the way the conversion is carried and the private sector
out. Good land-use planning depends not only on
the planning process, but also on effective There is increasing recognition in public-sector
enforcement (and the appropriate use of institutions of the need to work closely with
incentives). Effective enforcement requires civil societ y and the private sector in
adequate capacit y for monitoring and the use of multisectoral and multi-institutional platforms
institutional instruments capable of deterring, as a way of legitimizing national policies and
detecting and taking effective legal action against improving the governance and management of
illegal activities. A sur vey of capacit y for land-use change. The institutional framework
monitoring changes in forest area conducted in should be viewed not simply in terms of
45 countries (Kissinger, Herold and De Sy, 2012) government departments and administrative
found that only about one-quarter of the structures but as an integrated system in which
sur veyed countries had the capacit y to produce those components of the framework work with
high-qualit y data on drivers of forest area change local communities, civil societ y organizations,
(Table 3.3). and responsible private-sector interests. When
local people are able to associate and form
Remote sensing is helping to increase the organizations and federations at the local and
availabilit y of information and improve national levels they can engage more
monitoring strategies. The Action Plan for the powerfully in advocacy to maintain their rights.
Prevention and Control of Deforestation in the The recognition of customar y or informal
Legal Amazon (Ministrio do Meio Ambiente), tenure rights provides local people with a
launched in 2004, includes integrated actions strong motivation to perform enforcement and
among government institutions and innovative oversight functions, thereby helping ensure
procedures for monitoring, environmental that reg ulator y frameworks are applied. There
control, and territorial management. This is also evidence that, when sufficiently
approach helped reduce deforestation from about motivated, communities are at least as good
2 million hectares in 1998 to less than 0.5 million and sometimes better at reducing
hectares in 2012 (Ministrio do Meio Ambiente, deforestation than government agencies in
2013; Midia Amazonia, 2015). strictly protected areas (Porter-Bolland et al.,
2012). In Viet Nam, for example, the
Private investors can use remote sensing to government has engaged with communities and
improve the management and monitoring of their paid them to protect local forests and plant
lands, and civil societ y organizations can use it trees; local people have now become the front
in their independent monitoring. Brazils new line in enforcing reg ulations to control illegal
Forest Code, enacted in 2012, makes mandator y logging, showing the importance and cost-
the submission of georeferenced data for the effectiveness of governments working with
registration of private rural properties (Box 3.4). civil societ y and communit y-based
Challenges with this requirement have been organizations to tackle deforestation.
reported, especially the use of different image
sources and variable technical capacit y for Private governance has become more prominent
interpretation (Soares-Filho et al., 2014; Rajao in promoting sustainable land use, with an
and Azevedo, 2012). However, this mechanism increasing number of private companies
has improved monitoring and accountabilit y, and voluntarily committing to eliminate deforestation

| 47 |
GRENADA
The Ceiba tree, a giant
among tropical forest trees,
the products of which
include its use for medicinal
purposes and Kapok for
mattress stuffing.
FAO/Giuseppe Bizzarri
STATE OF THE WORLDS FORESTS 2016

from their supply chains. Initiatives include which acts as a project broker for companies
voluntar y certification schemes, such as those of wanting to provide voluntar y support for forest-
the Forest Stewardship Council, the Programme based development (FAO and Global Mechanism
for the Endorsement of Forest Certification, the of the UNCCD, 2015).
Roundtable on Sustainable Palm Oil, and
Rainforest Alliance Certified Coffee Farms. The
Consumer Goods Forum (CGF), which represents
400 companies in 70 countries, has published
Need for a multipronged
sustainable sourcing g uidelines for palm oil and approach
soy. Through its Soft Commodities Compact, the
CGF is also working with the banking industr y to The effectiveness of individual policy tools, such
help achieve zero deforestation. In 2012 it formed as legal provisions, financial incentives, land-use
the Tropical Forest Alliance in partnership with plans, monitoring and enforcement mechanisms,
the Government of the United States of America, and partnerships with the private sector and civil
launching the Africa Palm Oil Initiative in 2015. societ y should not be assessed in isolation. A
Cameroon, Cte dIvoire, Gabon, Ghana, Liberia review of developing countries that have recently
and Nigeria are engaged in this initiative, which simultaneously achieved increases in food
aims to achieve a prosperous palm-oil industr y in production and forest cover highlighted the
a way that is environmentally and socially importance of multiple interacting mechanisms,
sustainable and protects the regions forests. such as agricultural intensification, land-use
zoning, forest protection, increasing reliance on
Another example of private governance is the imported food and wood products, and foreign
soy moratorium in Brazil, under which major capital investments (Lambin and Meyfroidt,
soybean traders have agreed not to purchase soy 2011). The remarkable reduction in deforestation
grown on lands deforested in the Brazilian rates in the Brazilian Amazon noted above, for
Amazon after July 2006; previously, nearly 30 example, was achieved partly through a
percent of soy expansion occurred through combination of: inclusive public social investment
deforestation rather than the replacement of for development; well-targeted economic
pasture or on other previously cleared lands, but incentives and changes to agricultural incentives;
this has now fallen to about 1 percent (Gibbs et increased agricultural yields; improved law
al., 2015a). Zero-deforestation cattle agreements enforcement and monitoring of deforestation; the
signed by major meatpacking companies have creation of protected areas; and the legal
also helped reduce deforestation in parts of recognition of indigenous lands. External factors
Brazil (Gibbs et al., 2015b). Increasingly, are also important: research by the Climate
companies are willing to support social and Policy Initiative (Assuno, Gandour and Rocha,
environmental projects as part of their corporate 2012) attributed around half the drop in annual
social responsibilit y strategies. In Tunisia, for deforestation in Brazil since 2004 to factors such
example, the forest administration is as lower world prices for beef and soya (and the
coordinating the Pact for a Green Tunisia, other half to governmental actions). n

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CHAPTER 4
MAKING ROOM
FOR FORESTS AND
FOOD SECURITY

SIERRA LEONE
The chairwoman of a local
Agri-business centre on a
community cabbage plot.
FAO/Sebastian Liste/NOOR for FAO
KEY MESSAGES

1 Case st udies i n several cou nt ries show t hat


ECONOMIC REFORMS can help increase food security
while also maintaining or increasing forest cover.
Market-oriented agriculture policies, with social and
environmental safeguards, have helped increase
productivity through increased investment, especially
by the private sector, without requiring expansion
of agricultural land to boost production.

2 Effective land-use policies recognize the full


ECONOMIC, SOCIAL AND ENVIRONMENTAL VALUES of
forests, including their role in delivering wider economic
development and poverty reduction programmes.

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CHAPTER 4

3 Effective and inclusive legal and institutional


frameworks provide PREDICTABLE AND SECURE LAND
AND FOREST TENURE, with rights to trees, tree products
and services, and measures to regulate land-use change
effectively. Building the capacity of producer and
community organizations contributes to improving
institutional frameworks.

4 DEVOLVING FOREST MANAGEMENT RIGHTS to local


communities and smallholders helps improve access to
forest benefits, leading in turn to greater recognition of
the value of forests. Effective collaborative forest
management requires that public institutions and
community organizations understand their roles and
have the capacity to perform them.

5 Approaches for integrating land uses and landscape


management include STRATEGIC LAND-USE FRAMEWORKS,
collaboration among agricultural and forest institutes on
research, development and extension, strengthening of
farmforest links, and the promotion of agroforestry.

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CHAPTER 4

MAKING ROOM
FOR FORESTS AND
FOOD SECURITY
4.1REDUCING
key roles they play in water cycles,
pollination, natural pest control, soil fertilit y,

DEFORESTATION
local climate reg ulation and resilience to
changing environmental conditions. Forests

AND IMPROVING
contribute to rural livelihoods and povert y
alleviation through income generated by

AGRICULTURE AND
employment in the production of forest
goods and environmental ser vices. Millions

FOOD SECURITY
of people depend on food from diverse plants
and animals found in forests and from trees
located outside forests, increasing the
One of the main drivers of deforestation nutritional qualit y and diversit y of their
identified in Chapter 2 is the conversion of diets; forest foods can also ser ve as safet y
forest land to agriculture, but measures nets in periods of food scarcit y. Another
aimed at improving food securit y need not major contribution of forests to food securit y
cause deforestation. This chapter presents is the provision of woodfuel for cooking and
case studies from countries that have to water sterilization; it is estimated that
succeeded in improving food securit y while 2.4billion people, or about 40 percent of the
also increasing or maintaining their forest population of less-developed countries, cook
areas as a way of understanding the with woodfuel (FAO, 2014a).
underlying factors that have contributed to
these positive trends. A suite of food-securit y indicators is used to
measure the four dimensions of food securit y
According to the 1996 World Food Summit, (FAO, 2013b) . Two indicators of the access
food securit y exists when all people, at all to food dimension are the prevalence of
times, have physical and economic access to undernourishment (PoU) and the number of
sufficient, safe and nutritious food that people who are undernourished (NoU). In
meets their dietar y needs and food the selection of case studies for this report,
preferences for an active and healthy life. these two indicators were used as criteria for
The four dimensions of food securit y are identif ying countries that have improved
1)food availabilit y, 2) economic and physical food securit y since 1990. Data from the
access to food, 3) food utilization, and Global Forest Resources Assessment 2015
4)stabilit y; nutrition is also integ ral to (FAO, 2015a) were used to identif y countries
foodsecurit y. in which forest area had increased or been
maintained since 1990. An analysis based on
Although agriculture and forestr y are these criteria identified 22countries that had
sometimes perceived as conf licting land uses, both improved food securit y and increased or
well-managed forests have tremendous maintained their forest areas since 1990.
potential to promote food securit y. Forests Those countries were clustered according to
cover one-third of the earths land surface, region and using the World Bank income-
and forest environmental ser vices are crucial level classification; because no low-income
for agricultural production because of the countries were in the list of 22 countries,

| 54 |
STATE OF THE WORLDS FORESTS 2016

TABLE 4.1

INCREASES IN FOREST AREA AND IMPROVEMENTS


IN FOOD SECURITY, 19902015
CHANGE CHANGE IN PREVALENCE OF
NUMBER OF PEOPLE
IN FOREST AREA AGRICULTURAL UNDERNOURISHMENT
UNDERNOURISHED (MILLIONS)
COUNTRY (%) AREA (%) (%)
19902015 19902010 199092 201416 199092 201416

Chile +16.2 -1.0 9.0 < 5.0 1.21 ns

Costa Rica +7.5 -19.1 5.2 < 5.0 0.16 ns

The Gambia +10.4 +5.0 13.3 5.3 0.13 0.10

Georgia +2.5 -23.2 56.5 7.4 3.02 0.32

Ghana +8.2 +23.9 47.3 < 5.0 7.09 ns

Tunisia +61.9 +16.1 < 5.0 < 5.0 ns ns

Viet Nam +57.8 +60.1 45.6 11.0 32.13 10.29

Note: ns = not significant.

low-income countries that met the forest area Africa the Gambia, Ghana and Tunisia;
criteria and Millennium Development Asia Georgia and Viet Nam; and
Goal1C but not the World Food Summit Latin America Chile and Costa Rica.
criteria were also considered for inclusion.11
Table 4.1 shows the increases in forest area
Seven case-study countries were selected from the reported in FAO (2015a)12 and the indicators
longer list in a way that achieved geographical showing improvements in food securit y in the
balance; included countries with a range of per- seven countries since 1990. It also shows change
capita incomes; and provided an opportunity to in agricultural area, although this was not used
examine different policies, institutional as a selection criterion. n
frameworks and instruments. For each of these
countries, a case study was commissioned to
analyse using a standard reporting framework
factors contributing to positive trends in food
security and forest area in 19902015. The
countries selected as case studies were:

11 The Annex provides further explanation of how case studies were 12 Data from FAO (2015a) are used for consistency, although some case
selected. It also provides further explanations of PoU and NoU and their links studies used different data sources with, for example, different definitions of
with the Millennium Development Goals and the World Food Summit targets. what constitutes the forest area.

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CHAPTER 4 MAKING ROOM FOR FORESTS AND FOOD SECURITY

4.2COUNTRY
Population growth slowed from an average of
1.45 percent per year in 1990 2000 to 1.13percent

CASE STUDIES
per year in 2000 2014. There has also been rural-
to-urban migration, with the rural population
falling from 2.21 million people (17 percent of the
This section summarizes each case study, based total population) in 1990 to 1.82 million
on the case-study reports13 and other data from (10percent of the total population) in 2014.
FAO and World Bank sources.14 The summaries
note the economic and demographic context; Trends in food security, agriculture and forest
discuss trends in food securit y, agriculture and condition
forest condition; outline the policy, legal and Improvements in food securit y can be attributed
institutional frameworks; and suggest key factors to improved agricultural yields, favourable
that have contributed to positive trends in food economic conditions, and well-targeted social
securit y and forest area. protection. Social welfare programmes include
grants for food and other basic expenses, and
housing improvement. Food securit y remains a
Chile problem for the poorest people, however, and
there are also problems of obesit y associated with
Economic and demographic context poor food qualit y.
Chile is a high-income countr y in South America.
It had a population of 17.76 million people in 2014 The value-added contribution of agriculture,
and a gross national income (GNI) per capita of including forestr y and fishing, to the economy
US$14910 (the equivalent of 21580 international rose by 5percent per year from 1990 to 2013,
dollars $Int using purchasing power parit y although the overall contribution of the sector to
PPP exchange rates).15 Chile has a land area of GDP fell slightly, from 3.7percent in 1990 to
74.35 million hectares. 3.5percent in 2013. The area of agricultural land
fell slightly from 1990 to 2015, from 15.90 million
Chiles economy is strong, with GDP increasing hectares to 15.78 million hectares. The average
by 6.4percent per year between 1990 and 2000 value of food production per person increased by
and by 4.0 percent per year between 2000 and 48 percent between the periods 1990 1992 and
2014. This growth is a result of policies that 20112013.16
encouraged the development of an open economy
focusing on international trade, free competition, The increase in the value of agricultural
tariff reductions, and private ownership of the production is partly the result of major changes
means of production. There are still problems of in agricultural production patterns, notably a
inequalit y, however: in 2013, the highest 10 reduction in traditional crops such as cereals
percent of the population earned 45.5 percent of and vegetables and growth in the production of
the income, and the lowest 10percent earned wine, fruit and f lowers. The area of land under
1.7percent. arable crops fell by 1.49 million hectares
(53percent) from 1990 to 2013, the area of
permanent crops increased by 0.21 million
13 Full country reports and their associated references are available at hectares (84 percent), and the area of permanent
http://www.fao.org/publications/sofo/ meadows and pastures increased by 1.16 million
14 Throughout, changes in GDP and in value added in agriculture, hectares (9 percent).
forestry and fisheries are expressed in real terms, using United States dollars
at 2005 prices. Unless otherwise noted, data on food imports and exports
exclude fish; percentages of total imports/exports relate to total These changes in production have taken place in
merchandise imports/exports. response to changes in the relative profitabilit y of
15 GNI per capita based on PPP is GNI converted to international
dollars using PPP rates. An international dollar (Int$) has the same
purchasing power over GNI as a US dollar has in the United States (World 16 The average value of food production per person in constant terms is
Bank, 2016). a food-security indicator related to availability (FAO, 2016a).

| 56 |
BOX 4.1

KEY FACTORS
CONTRIBUTING TO
POSITIVE TRENDS IN
different products, especially in export markets. FOOD SECURITY AND
Export markets have been essential for creating FOREST COVER IN
CHILE
economies of scale because the domestic market
is relatively small. Food exports were worth
US$7.9 billion in 2012, which was 10 percent of
Chiles total exports; by value, the main food Economic growth in an open and
exports in that year were wine, grapes, apples competitive market environment has led to
and other fruit. Food imports were valued at increased exports and reduced
US$3.9 billion in 2012, which was 5 percent of unemployment and poverty. A framework of
Chiles total imports; the main imports by value reliable institutions has supported economic
were beef and veal, maize and wheat, and cattle growth and provided social protection.
feed. Chile has received food aid in exceptional The agriculture sector has been flexible in
circumstances, such as in the aftermath of the reacting to changing market conditions,
2010 earthquake. including export potential, and it has
responded positively to tariff reductions by
Productivity increased by 50 percent from 1990 to replacing traditional crops with more
2015 for many arable crops and fruits. Measures to profitable alternatives.
increase productivity included the recuperation of Crop productivity has increased due to the
soil degraded by erosion and a lack of nutrients; use of the best available technologies and
improved irrigation with the introduction of increases in farm size, which has brought
sophisticated systems;17 the application of new economies of scale.
technologies in genetics; and investment in Finance has been available, mainly from
equipment. Financial instruments for improving commercial banks. Governmental financial
productivity included incentives for fertilizer instruments have focused on encouraging
programmes (at a cost of US$319million in 2005 private-sector investment, restoring
2009), improved irrigation (at a cost of US$982 degraded soils and improving
million from 1990 to 2014), drainage, and the irrigationsystems.
agro-environmental sustainability of agricultural Well-targeted programmes with both social
soils. Economies of scale have also been achieved: and production objectives have supported
for example, the area of properties more than small and medium-sized enterprises,
2000 hectares in size increased from 60 percent of including by providing technical assistance,
the agricultural area in 1997 to 70percent in 2007, financial support and training to improve
and technological development has tended to the productivity and sustainability of
concentrate in these large farms. familyfarms.
Forest plantations to produce timber for
Around 40 percent of rural holdings in Chile are industrial processing and to deliver
less than 5 hectares in size; much of the countr ys environmental benefits such as soil
less-productive agricultural land is farmed on a protection have been encouraged by
close-to-subsistence basis by smallholders. subsidies for afforestation, a legal
Medium-sized farms are tending to increase in requirement to replant after harvesting, and
size to benefit from economies of scale, but this is a positive response to such opportunities in
not happening for ver y small farms. the private sector.
Policy recognition of the potential of
Farmers make most of the investment in agriculture and forestry, based on the
agriculture, obtaining their finance from banks suitability of the land for different uses, has
and, to a lesser extent, input suppliers. led to strong and effective support for
Investments by banks were valued at US$7 billion bothsectors.

17 The percentage of arable land equipped with irrigation is a food-


security indicator related to stability (FAO, 2016a).

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CHAPTER 4 MAKING ROOM FOR FORESTS AND FOOD SECURITY

in 2012. There has also been foreign direct about 40 000 hectares of natural forest. The
investment, focused on export-oriented impact of fast-growing species on water supplies
agribusinesses. All farming is carried out by the is a concern in some areas, and scientific studies
private sector. Public investment has focused on are underway to address the issue through, for
improving degraded soils and irrigation: the example, better species choices.
percentage of arable land equipped with
irrigation increased from 42.9 percent in 1990 It is estimated that another 1.5million
1992 to 85.5 percent in 2010 2012. The state- 2.0million hectares of forest plantation could
owned bank also helps improve conditions for still be established. Grade 6 land, which is stony
small farmers. with steep slopes, thin soils and high erosion
potential, has low value for annual cropping but
Forests cover nearly 24 percent of Chiles land is suitable for permanent fruit crops, grazing and
area. The countr y has developed a major forest afforestation. Some Grade 7 land is also suitable
plantation resource that forms the basis of a for afforestation. On the other hand, there has
significant export industr y. More than 1million been some conversion of degraded esclerfilo
hectares of plantations have been established forest land to agriculture where climatic
since 1990, mainly on land that previously had conditions are favourable for vineyards, olives
been under extensive agricultural use or was and fruit-growing.
threatened by erosion. By 2013, the contribution
of the forest sector (and related industries, Policy, legal and institutional frameworks
excluding pulp and paper) to GDP was Chiles success in increasing production,
2.7percent. The timber har vest for industrial use improving productivit y and expanding trade in
has nearly tripled in the last 25 years, reaching agricultural and forest products in the last
41million m 3 in 2013; from 2025, plantations are 25years is explained by the use of well-targeted
projected to produce a sustainable wood har vest policy instruments that have provided incentives
of about 50 million m 3 per year. The value of for a responsive private sector. Government
forest product exports was US$4.7 billion in 2013, expenditure on agriculture, forestr y and fishing
compared with imports of US$0.8 billion. The was US$751 million in 2012, representing
main export products were pulp and paper, 1.54percent of total government outlays.
sawnwood, boards and wood chips.
Agricultural improvement programmes have
Most investment in forestr y derives from the increased productivit y and brought previously
private sector, which has invested about unproductive land into productive and profitable
US$0.6billion in afforestation and agricultural use. In addition, the National
US$11.7billion in wood processing since 1990. Institute for Agricultural Development (INDAP)
State incentives totalling US$762 million from has supported small and medium-sized producers
1974 to 2014 helped catalyse this private through: the co-financing of agroforestr y and
investment and were based on recognition of the agricultural investment projects; a programme to
environmental benefits of forests. The strengthen agriculture, forestr y and related
plantations, which consist mainly of pine and activities in indigenous communities to improve
Eucalyptus species, account for 98 percent of the incomes and qualit y of life while respecting the
economic output of forests. This has reduced world views of those communities; support to
pressure on natural forests, in which industrial improve the operational, economic and financial
timber har vesting fell from 16.1percent of the performance of business associations; skills
total timber har vest in 1990 to 0.8percent in development and capacit y building in smallholder
2013. Overall, there has been an 8percent organizations; and credit for irrigation and the
increase in the area of primar y and other management of native forests. INDAP also offers
naturally regenerated forest since 1990. In some technical assistance and training. It has extension
cases, plantations replaced natural forest, but offices throughout the countr y to communicate
forestr y companies have now agreed to restore scientific advice from universities and research

| 58 |
STATE OF THE WORLDS FORESTS 2016

farms to farmers, including family farms and population growth today is the result of
medium-sized producers. To develop an immigration from nearby countries, and many
integrated approach to extension work, INDAP immigrants work in rural areas. Although the
and the Forest Institute collaborate on the proportion of people living in rural areas in Costa
training of professional extension workers. Rica has fallen from 50percent to 31percent
since 1990, the absolute number has been
The management of natural forests and plantations relatively stable, at around 1.5million.
is regulated by law, and there is a requirement to
reforest all harvested areas, including plantations. Trends in food security, agriculture and forest
Forest action plans set out strategies for the forest condition
sector, covering productive, social and Costa Ricas food-security indicators are generally
environmental functions. A 20-year state forest positive, but poorer people including landless
policy requested by the Minister of Agriculture is rural families still suffer from food insecurity.
under preparation; it will provide a framework for Food security has improved overall since the 1990s
future policy instruments, and the public and due to increases in agricultural productivity, and
private sectors are working jointly on its the importation of food from countries with lower
development. Work is also underway to improve the production costs (although this increases
effectiveness of incentives for rehabilitating vulnerability to global fluctuations in food prices).
degraded natural forest. Net forest loss due to conversion to cattle ranching
and other types of agriculture has been halted;
Box 4.1 presents the key factors contributing to previously, forests were regarded as land banks
positive trends in food securit y and forest cover that could be converted as necessary to meet
in Chile. agricultural needs.

The value-added contribution of agriculture,


Costa Rica including forestry and fishing, to the Costa Rican
economy increased by 3.2 percent per year
Economic and demographic context between 1990 and 2013, but the proportion of total
Costa Rica is an upper-middle-income country in GDP contributed by the sector fell from 12percent
Central America. It had a population of 4.76 million to 6 percent over the period. The area of
people in 2014 and a GNI per capita of US$10120 agricultural land declined from
(Int$14420 using PPP exchange rates). The country 2.30 million hectares in 1990 to 1.82 million
has a land area of 5.11 million hectares. hectares in 2015; with improved productivity,
however, the average value of food production per
Costa Ricas economy has been growing steadily, person increased by 26 percent in the period 1990
with GDP increasing by 5.2 percent per year from 1992 to 20112013. The reduction in agricultural
1990 to 2000 and by 4.3 percent per year from land occurred largely because the area of
2000 to 2014. The economy is increasingly based permanent meadows and pastures declined from
on the ser vice sector, tourism and new 1.79 million hectares in 1990 to 1.26 million
technologies. Under the structural adjustment hectares in 2015. This decline, in turn, was
programmes of the 1980s and 1990s, Costa Rica associated with a reduction in the number of head
reduced the size of its public sector, withdrew of cattle from 2.2 million in 1990 to 1.3 million
government market inter ventions, promoted non- in 2010 due to structural adjustment policies that
traditional exports, encouraged foreign direct reduced direct support for cattle raising and
investment, and entered into a number of affected prices. The area of arable crops declined
significant free-trade agreements. by 28000 hectares (11percent) between 1990 and
2013, but the area under permanent crops rose by
The rate of population growth has been falling, 70 000 hectares (28 percent) in the same period.
from 2.4percent per year in 1990 2000 to These shifts in production reflected changing
1.38percent per year in 2000 2014. Most market conditions.

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CHAPTER 4 MAKING ROOM FOR FORESTS AND FOOD SECURITY

Much agricultural production in Costa Rica is by The contribution of the forest sector to the
large-scale landowners and transnational economy in Costa Rica fell from 0.5 percent of
corporations who specialize in the intensive GDP in 1994 to 0.2 percent in 2015 due to an
production and export of commodities such as increase in timber imports and the greater use of
pineapples, bananas, livestock products, coffee, substitute products in construction. However,
sugar and palm oil. The percentage of arable land these official percentages do not include the
equipped with irrigation increased from value of woodfuel, wood processing or the
30.4percent in 1990 1992 to 41.7 percent in provision of environmental ser vices. Moreover,
2010 2012. Small-scale farmers continue to although international tourism accounts for
produce food for local markets, and subsistence 18percent of total exports, and forests are widely
farming is becoming less significant. The used in promotional campaigns for that industr y,
production of oil crops, cereals and meat rose this forest benefit is not ref lected in national
between 1996 and 2011, while coffee production accounts. Annual wood removals from forests
fell. In 2011, Costa Ricas food exports were have been relatively constant since 1990, at about
valued at US$2.9 billion (28 percent of total 4.7 million m 3, of which 74 percent is woodfuel.
exports), while food imports amounted to Removals from natural forests fell from 248 000
US$1.3billion (8 percent of total imports). By m 3 in 1998 to 23 000 m 3 in 2015 as a result of
value, the main exports were bananas, pineapples greater environmental protection. There is a
and coffee, and the main imports were maize, significant trade deficit in wood products: in
soybeans and wheat. 2013, the value of imports was US$550.1 million,
and the value of exports (charcoal, teak
Deforestation reached its peak in Costa Rica in roundwood and manufactured wood products)
the 1980s and has since reversed, with forest area was US$62.4 million.
increasing from a low point in 2000 to reach
nearly 54 percent of the countr ys land area in Policy, legal and institutional framework
2015. The production of commodit y crops for Costa Ricas agriculture and forest policies
export was an important driver of deforestation, operate within the context of broader policy
but this pressure has reduced due to structural objectives aimed at developing a successful open
changes in the economy and the priorit y given to economy and maintaining strong environmental
forest conser vation and sustainable management. credentials. In the last 25 years, structural
The reduction in the number of cattle also led to adjustment programmes including reduced
some land abandonment and the subsequent import tariffs and subsidies have had
regeneration of secondar y forest. Although the significant impacts. Agricultures average share
area of secondar y forest is increasing, illegal of public spending fell from 14percent in 1990
clearance for agriculture continues; in addition, 2000 to 5percent in 20012013; the government
some farmers prevent forest regrowth because spent US$827million on agriculture, forestr y and
they do not want to lose the opportunit y to use fishing in 2011.
the land for agriculture (the forest law prohibits
changes in land use from natural forest, except in The countr ys agriculture and food policies
special circumstances). The area of forest aim to increase competitiveness at all scales
plantations, many of which were established with of entrepreneurship and to help farmers
incentives in the 1970s and 1980s, has been innovate and develop profitable businesses
declining. This is often because they are not with access to internal and external markets.
replanted after har vesting, partly so that the land The policies also encourage local production:
can be used for other purposes, such as growing for example, the government introduced
fruit or urban development, and partly because of limited price support measures in 2008 2010
the impact on the market of cheap imported to help boost the domestic supply of staple
wood, especially from Chile. There is some foods such as rice, maize and beans. The two
agroforestr y, for example to provide shade for elements of the National Food Plan,
coffee crops and livestock. introduced following a global escalation in

| 60 |
BOX 4.2

KEY FACTORS
CONTRIBUTING TO
POSITIVE TRENDS IN
food prices in 2008, were the promotion of FOOD SECURITY AND
food production and social assistance to FOREST COVER IN
COSTA RICA
v ulnerable families.

Costa R ica has had a national polic y on land


management since 2012. The Ministr y of Structural changes in agriculture
Housing and Human Settlements works w ith reduced pressures to convert forest to
the Land Use Sector Council and a range of agricultural use and led to an increase
other ministries and public bodies to formulate in the area of secondary forest.
policies and g uidelines on land-use planning Agriculture and food policies have
and housing w ithin the context of the National aimed to increase the competitiveness
Development Plan. The speed of development of entrepreneurship at all scales,
often exceeds the capacit y to develop and including local production.
implement reg ulator y plans, however. The Thegovernment responded to an
Rural Development Institute promotes escalation in food prices in 2008 by
development in rural areas but tends to focus promoting food production and
on encourag ing ag riculture and potentially providing vulnerable families with
could do more to incorporate forests in local socialassistance.
development strateg ies. Legal controls have been introduced
to prevent land-use change from
The emphasis of forest policy has shifted away natural forests.
from wood production and towards forest Stable funding for forests has been
protection, preventing deforestation, and provided since 1997 through a
increasing forest cover. In 1996, the National system of payments for environmental
System of Conservation Areas (SINAC) was services (PES). Priorities for PES
created as an agency in the Ministry of funding include forest and watershed
Environment, Energ y and Telecommunications protection, conservation, agroforestry
with responsibility for forests and protected areas. and silvopastoral systems, and
Whereas the previous Directorate General for reforestation with native species.
Forests (in the Ministry of Agriculture) promoted Publicly owned protected areas have
wood production, the main focus of SINAC is been consolidated, and there is a
conservation. About 50 percent of the countrys willingness among some private
forest area is in protected areas, in which the owners to adopt similar approaches
forest law prohibits land-use change. There can be on their land so they can benefit from
difficulties in defining the stage at which ecotourism and PES.
regrowth on abandoned agricultural land legally The significance of primary
constitutes secondary forest, however. There is a forests for the ecotourism sector,
need for the law to distinguish more clearly and recognition that forests are
between the management regimes appropriate for crucial forCosta Ricas strong
primary forests and secondary forests. environmental credentials, mean that
forest policy as well as agriculture
Forest incentives aimed at plantation and food policies are priorities
development were replaced in the mid-1990s by for government.
the PES scheme. The National Fund for Forest
Financing receives a proportion of the tax levied
on the consumption of fossil fuels, ref lecting
Costa Ricas recognition that forests deliver
important environmental ser vices that require
public funding. The countr ys PES scheme has
been a significant, stable source of funding for

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CHAPTER 4 MAKING ROOM FOR FORESTS AND FOOD SECURITY

forests for nearly 20 years. Priorities for the 142 percent higher than the value of total
allocation of payments under the scheme include merchandise exports in 1990 1992, 313percent
forest and watershed protection, conser vation, higher than total merchandise exports in
agroforestr y and tree-pasture systems, and 19992001, and 181 percent higher in 200911.18
reforestation with native species. The PES
scheme has been used to strengthen the The Gambias population grew by 2.97 percent
protected-area system, including through per year (on average) in the period 1990 2000
voluntar y land purchases by the state; develop and by 3.27 percent per year in the period
biological corridors covering 437 000 hectares; 2000 2014. Despite migration to urban areas, the
tree-planting incentives for farmers, who have rural population has continued to increase.
planted 5.4 million trees; and support forest About 1.47 million people, or 78 percent of the
conser vation in indigenous territories. In total, total population, live close to forest and depend
US$318 million was invested in forest-related at least to some extent on forest resources for
PES projects between 1996 and 2015; 64 percent food, domestic energ y, fodder, construction
of the funding came from the fossil fuel tax, materials and poles.
22percent from World Bank credits and the
remainder from other sources. It is intended that Trends in food security, agriculture and forest
Costa Ricas PES scheme will provide a structure condition
for REDD+ payments, supporting the countr ys About 11 percent of Gambian people are
goals of becoming a carbon-neutral economy, considered food-insecure or v ulnerable to food
conser ving biodiversit y, and growing its nature- insecurit y during normal times. The major
based tourism sector. contributing factor to food insecurit y is povert y,
and food insecurit y is generally higher in
Box 4.2 presents the key factors contributing to households headed by women. Low and unevenly
positive trends in food securit y and forest cover distributed rainfall also adversely affects
in Costa Rica. household securit y, resulting in low production,
loss of income, and lower food stocks. Most
agricultural producers need to buy some food
The Gambia imports, making them v ulnerable to external
price f luctuations. When food stocks are low,
Economic and demographic context households depend on income generated through
The Gambia is a low-income countr y in West the sale of groundnuts and other cash crops, or
Africa. It had a population of 1.93 million people on remittances.
in 2014 and a GNI per capita of US$440
(Int$1560 using PPP exchange rates). The The value-added contribution of agriculture,
Gambia has a land area of 1.01 million hectares. including forestr y and fishing, to the Gambian
economy rose by 2.6 percent per year from 1990
The economy has a narrow base; important to 2013, although the overall contribution of the
sectors are the re-export trade, tourism, sector to GDP fell from 28 percent to 23 percent
construction and agriculture. GDP grew by an in the same period. Agriculture provides about
average of 3.4 percent per year from 1990 to 2013, 75percent of employment in the countr y. There
but it fell in 2014 due to a decline in tourism was little overall change in the area of
(although the Gambia is free of Ebola, the agricultural land from 1990 to 2015, although the
prospect of this disease affected it as a area of arable land under cultivation increased
destination for tourists) and a 15 30 percent
decline in crop production due to poor rains. 18 The value of food imports as a proportion of total merchandise exports
Remittances have become one of the countr ys is a food-security indicator related to stability; it captures the ability of a
largest sources of foreign exchange, growing country to finance food imports through the export of goods and services
(FAO, 2016a). By comparison, the value of food imports as a proportion of
from 3 4 percent of GDP in the 1990s to almost total merchandise exports was 6percent or less in Chile in the period
20 percent in 2013. The value of food imports was 19902010 and 11percent or less in Costa Rica.

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BOX 4.3

KEY FACTORS
CONTRIBUTING TO
POSITIVE TRENDS IN
from 200000 hectares in 1997 to 440000 hectares FOOD SECURITY AND
in 2012. The average value of food production per FOREST COVER IN
THE GAMBIA
person f luctuated in the period 1990 1992 to
20112013, with no clear trend. The quantit y of
food imports increased by 166 percent between
1990 1992 and 2008 2010, however.19 The development of domestic
agriculture (for example through an
Cropping patterns have been changing in the increase in the area of arable land
Gambia, especially with an increase in the area under cultivation and increased rice
of paddy rice. In 2012, the most important production) and an increase in food
agricultural commodities were, by value, imports have reduced both the
groundnuts, millet, paddy rice, beef, sorghum, prevalence of undernourishment and
milk, game meat, fresh fruit, cashew nuts and the number of undernourished people.
vegetables. Rice production, which was boosted The transfer of forest ownership to
by the introduction of the New Rice for Africa communities for sustainable
variet y, increased from 34300 tonnes in 2008 to management, and increased
69700 tonnes in 2013; this has created problems, recognition of the importance of
however, such as reduced water availabilit y for participatory forest management,
other crops, and erosion. Despite increased have helped reduce pressure on forest
production, rice imports also increased, from an resources and increase the benefits of
average of 63300 tonnes per year in 1990 1999, forests accruing to local communities.
to 89300 tonnes per year in 2000 2009, to External support has helped promote
93600tonnes per year in 2010 2013; other innovation and development in the
imports, such as sugar and f lour, also increased. agriculture and forest sectors, for
In 2011, food imports were valued at US$108 example by strengthening community-
million, which was 31 percent of all imports, and based producer organizations.
exports were worth US$20million, which was 21 The incorporation of sustainable forest
percent of all exports. The main net food exports management in the Gambia National
are groundnuts, groundnut oil and cashew nuts. Agricultural Investment Plan reflects the
importance of a holistic approach,
Ag ricultural production in the Gambia is highly recognizing, for example, that upland
dependent on rainfall and therefore f luctuates erosion causes lowland siltation and
sig nificantly. Average precipitation has declined that agricultural expansion should take
in the last 30 years, and other factors adversely place on undercultivated land to avoid
affecting farm productiv it y are low soil fertilit y, forest encroachment.
inappropriate farming techniques, expensive Public awareness has increased of the
inputs (there is limited use of fertilizer because problems associated with land
of low farm-product prices), difficult access to degradation, and of its causes (e.g.
markets, insecure tenure, and weak producer human activities and climatic variation).
organizations. Traditional and modern land-
tenure systems co-exist, w ith local district
authorities responsible for the allocation of
customar y land for farming, residential and
vegetable gardens and communit y forests, and
local governments responsible for the modern
tenure system. Smallholders and poor farmers
face inequalit y and insecurit y under these
tenure systems.

19 Three-year averages of import quantity index (FAO, 2016a).

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CHAPTER 4 MAKING ROOM FOR FORESTS AND FOOD SECURITY

The total value of official development assistance The contribution of the forest sector to GDP was
(ODA) investments in agriculture in 2008 2015 0.5 percent in 2011, although this does not
was about US$375 million. Such assistance include the value of non-marketed goods and
funded projects addressing agricultural land and environmental ser vices. For example, official
water management; livestock and horticultural statistics do not refer to the cross-border trade in
development; the commercialization of the forest products with Senegal, even though the
agricultural value chain; sustainable land Gambia is highly dependent on Senegal for
management; rice production; participator y imported woodfuel. Average annual wood
integrated watershed management; and rural removals in the Gambia increased from
finance. As part of such programmes, producer 0.57million m 3 in 1990 1994 to 0.80million m 3 in
organizations benefited from funding to improve 20072011. Most such removals were for
agricultural production in, for example, woodfuel; the component of industrial wood
institutional development, capacit y building, removals remained relatively constant at about
cereal banking, family farming, and land 0.12 million m 3 per year, most of which was used
governance and tenure. for domestic construction. Forest product exports
were valued at US$68.3 million in 2013 and forest
The World Food Programme has provided food product imports were valued at US$4.3 million.
relief supplies in the Gambia following natural
disasters such as drought, crop failures as a Drought, f loods, storms and wildfires cause
result of pest invasions, and cereal shortages due losses of lives and propert y. For example, an
to heav y rains. Recent programmes included a average of 170 600 hectares of land burned each
school meals project worth US$9.8 million in year in 2003 2012.
20122015, and a Protracted Relief and Recover y
operation for food-insecure and v ulnerable Policy, legal and institutional framework
households worth US$5.5 million in 2013 2015. Key economic policy aims of the Government of
the Gambia include povert y eradication,
Much of the Gambias forest comprises tree and increasing national income through stable
shrub savannah, which is subject to degradation economic growth, and reducing inequalities.
as a result of pressure from nearby communities Policies on agriculture and natural resources
for agricultural expansion and settlements. seek to create a diversified modern agriculture
There are also about 1 000 hectares of remnant sector with sustainable food securit y by
primar y forest. All naturally growing trees increasing agricultural trade and investment,
belong to the state, but the land on which they improving productivit y, commercialization, and
grow is mainly subject to customar y tenure. active private-sector participation. The Gambia
There are 357 000 hectares of forest reser ves; National Agricultural Investment Plan (2011
34 000 hectares of forest parks and jointly 2015) aimed to achieve at least 8percent growth
managed forest parks; and 32 000 hectares of in the agriculture sector, with programmes
communit y forests. aimed at improving agricultural land and water
management; improving the management of
In recent years there has been a major shift in other shared resources, including forests;
forest tenure through the permanent transfer of developing agricultural chains and market
parts of forest reser ves to local communities for promotion; national food and nutritional
participator y forest management. Although there securit y; and sustainable farm development.
continues to be some clearance of forest cover for
agriculture, participator y forest management, An objective of the Forestr y Policy (2010) is to
together with solid forest tenure rights, has manage 75 percent of forest land under
increased recognition of the value of the communit y or private forestr y for
sustainable production of wood and non-wood environmental and socioeconomic development.
forest products and demonstrated that forest The sustainable management of forest
areas should not be regarded as worthless bush. resources component of the Gambia National

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STATE OF THE WORLDS FORESTS 2016

Agricultural Investment Plan focused on included projects worth US$0.9 million;


increasing the participation of communities in upcoming projects include a Global Environment
sustainable forest management; agroforestr y Facilit y/FAO dr yland forest management project
development; strengthening the Forestr y worth US$6.5 million. Such external support has
Department; and collaborative research and helped build capacit y in the Forestr y Department,
information exchange. develop the capabilit y of farmers, and promote
participator y approaches that have increased the
The State Land Regulations (1995) provide that contribution of forests to the socioeconomic
forests should be protected according to the development of the rural poor.
Forest Act and the Local Government Act (2002),
which give decentralized local government Box 4.3 presents the key factors contributing to
bodies responsibility for the protection, control positive trends in food securit y and forest cover
and management of forest resources in their in the Gambia.
areas of jurisdiction. The Forest Bill, currently
under consideration, is intended to regulate the
involvement of local communities in forest Georgia
management by setting out the obligations of
the government and of management partners, Economic and demographic context
and by making provisions for conflict resolution Georgia is a lower-middle-income countr y in the
and tax incentives. Caucasus. Georgia had a population of
4.50million people in 2014, down from 4.91
The development of infrastructure and the million in 1993. GNI per capita was US$3720 in
construction of settlements and hotels in the 2014 (Int$7510 using PPP exchange rates). The
Gambia have often involved forest clearing, countr y has a land area of 6.95 million hectares.
leading to conflict between planning authorities
and the Forestry Department. Although economic Georgias GDP increased at an average rate of
benefits usually take priority over environmental 4.3percent per year from 1993 to 2014, although
considerations, the Biodiversity and Wildlife Act growth was interrupted in 20082009 by an armed
(2003) seeks to resolve such conflicts by requiring conflict and the global economic crisis.
that land-use management has due regard for Remittances play a significant role in the economy,
biodiversity conservation. There is considerable averaging about 79percent of GDP. The value of
scope for promoting public participation in food imports amounted to 299percent of total
decision-making processes related to, for example, merchandise exports in 19901992, 56percent in
planning, the designation of land as state land 20002002 and 44 percent in 20092011.
(which has consequences for customary rights),
the work of land boards and planning authorities, Georgias population fell by an average of
and the formulation of land-use laws. 1percent per year from 1991 to 2000, mainly due
to emigration for economic reasons, but it rose by
At the village level, communit y-based 1.37 percent per year from 2000 to 2014. Georgia
organizations are responsible for managing has about 253000 internally displaced persons
communit y forests within the framework of and refugees. Almost half the population lives in
bylaws that provide g uiding principles for rural areas, although the rural population
sustainable management. declined from 2.22 million in 1991 to 1.85 million
in 2014. Many rural dwellers rely at least partly
The annual government budget allocation for on low-productivit y farms for their livelihoods.
forests was $US0.45 million in 20122015, and Most rural villages are near forests, and wood
the annual contribution to government funds and non-wood forest products (mainly procured
from forest product sales and taxes was illegally) are often important sources of income.
US$0.55million. Support for forests from Wood is an important source of energ y for rural
external donor agencies in the period 2008 2015 people for heating and cooking.

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CHAPTER 4 MAKING ROOM FOR FORESTS AND FOOD SECURITY

Trends in food security, agriculture and forest direct investment in agriculture averaged
condition US$13.7 million per year in 20072014. Foreign
Most of the improvement in food-securit y investment is controversial, however, and there
indicators in Georgia occurred in the immediate was a moratorium on the sale of land to
transition phase to a market economy. The PoU foreigners from 2012 to 2014.
fell progressively from 56.5 percent in 1990 1992,
to 11.1 percent in 19971999, to 7.4 percent in Support for agriculture has been a government
20142016, and the NoU fell from more than priorit y since 2013, with the aim of providing
3.0million in 1990 1992, to 0.50 million in food securit y and overcoming povert y in rural
19971999, to 0.32 million in 20142016. areas through high-qualit y agricultural
Although Georgia benefits from its capacit y to production. Funding for agriculture has
produce a wide variet y of food, it remains increased from government and international
v ulnerable to food insecurit y, due mainly to donors for improving infrastructure (including
povert y. The area of agricultural land fell from irrigation); increasing the use of agricultural
3.23million hectares in 1990 to 2.55million machiner y; providing assistance for small farms;
hectares in 2015. The average value of food preventive veterinar y measures; action to
production per person f luctuated over the period develop the processing sector; and export
from 1990 1992 to 20112013, with no clear promotion, including laborator y equipment for
trend, and the quantit y of food imports increased international accreditation.
by 34 percent from 19921993 to 20122013.
Forests cover slightly more than 40percent of the
The value-added contribution of agriculture, land area in Georgia. Most are in mountainous
including forestr y and fisheries, to Georgias areas, and only about 20 percent is considered
economy fell by an average of 10.6 percent per suitable for commercial production. There has
year from 1991 to 2000 and by 0.4 percent per been no recent loss of forest through conversion
year from 2000 to 2013. The contribution of to agricultural use, and in some places there is
agriculture to GDP was 29percent in 1991 and forest regrowth. Migration away from rural areas,
9percent in 2013. Traditionally grown crops especially in the mountains, has reduced
include grapes, wheat, maize, meat, milk, fruits pressures associated with forest cutting and
and vegetables. The value of food imports was excessive grazing.
US$896 million in 2011, and food exports were
worth US$227 million; food accounted for Forests and forest operations were managed
13percent of all imports and 10 percent of all centrally until 1999; forests are still publicly
exports. The main food imports in 2011, by value, owned, but operations are now delegated to the
were wheat, chicken meat, sunf lower oil and private sector. The granting of short-term permits
sugar, and the main exports were hazelnuts, wine led to excessive timber cutting because permit-
and spirits. holders had no incentive to invest in the forests.
Since 2005, however, licences have been granted
There is potential to increase agricultural for up to 20 years and licence-holders are required
production. With fertile soils and a favourable to invest in forest management. The private sector
climate, the conditions are ver y good for farming manages some areas of forest under land grants
in Georgia, but in the last 20 years there has been involving long-term tenure. Planted forests
a steady decrease in agricultural production due account for only 2.5percent of the forest area.
to a lack of an effective agriculture policy. About
25 percent of agricultural land is now private The contribution of the forest sector to GDP is
propert y, but land tenure is highly fragmented: 1.3percent (but this does not include non-wood
70 percent of holdings are less than 1hectare in forest products). According to official data, an
size, and 98percent of holdings are less than average of 0.58 million m 3 of wood has been
5hectares. Pastures may be used for a small removed annually since 1998, of which 78 percent
annual fee, but many are overgrazed. Foreign is woodfuel. It is difficult to quantif y actual

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BOX 4.4

KEY FACTORS
CONTRIBUTING TO
POSITIVE TRENDS IN
volumes removed because of illegal activities; FOOD SECURITY AND
some unofficial estimates suggest that the volume FOREST COVER IN
GEORGIA
of woodfuel removals is around 2.5 million m 3 .
Processed timber is sold in local markets.
Georgia started to export timber such as
hornbeam, fir and spruce after independence, but Migration away from forest areas has
temporar y restrictions on har vesting and log reduced pressure exerted on forests by
exports were applied in the late 1990s to reduce excessive cutting and grazing.
pressure on forests. Reg ulations for forest use The replacement of short-term permits
and timber exports were introduced, and for timber harvesting with longer-term
international trade has increased since 2006. In licences (for up to 20years) has
2013, the value of forest product exports was improved forest management.
US$23 million and the value of imports was Recognition that current legislation
US$92 million. does not comply with the principles of
sustainable forest management has led
Policy, legal and institutional framework to work on a new forest code. There
Georgias national strateg y for social and has also been capacity building in the
economic development, Georgia 2020 (approved National Forestry Agency.
in 2014), defines priorities for ministries. It is The involvement of stakeholders in
based on the principles of inclusive, private- the development and implementation
sector-driven economic growth and the of national forest policies has helped
sustainable use of natural resources, and one of generate support for the principles of
its priorities is the development of agricultural sustainable forest management.
infrastructure. It also recognizes that agriculture, Since 2013, assistance for agricultural
hydroelectric power generation and tourism development has been one of the
benefit from healthy forest ecosystems. Specific governments main priorities, leading
measures (also identified in the Strateg y for to increased investment by the state
Agricultural Development in Georgia) include the and through official development
enhanced competitiveness of rural entrepreneurs; assistance in this area.
the improved commercialization of products
produced by subsistence farms; improved
processing and storage capacit y for agricultural
products; better transport networks; institutional
development; the rehabilitation of irrigation and
drainage infrastructure; the development of value
chains; veterinar y and plant protection measures;
and food safet y. The Deep and Comprehensive
Free Trade Area Agreement will open up trade
with the European Union in agricultural and
forest products.

Responsibilit y for land resources is divided


between the Ministr y for Environment and
Natural Resources Protection, which is
responsible for planning and coordinating
activities aimed at combating desertification and
land degradation, the Ministr y of Agriculture,
which promotes sustainable land use, the
Ministr y of Economy and Sustainable
Development, which deals with the privatization

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CHAPTER 4 MAKING ROOM FOR FORESTS AND FOOD SECURITY

of state land and related tenure issues, and the


Ministr y of Justice, which is responsible for land Ghana
registration. In addition, local administrations
prepare spatial development plans. Economic and demographic context
Ghana is a lower-middle-income countr y in West
Responsibilities for forest polic y and forest Africa. In 2014 it had a population of
management have been separated. The Forestr y 26.79million people and a GNI per capita of
Polic y Office and the Env ironmental Super v ision US$1600 (Int$3910 using PPP exchange rates).
Department are in the Ministr y of Env ironment Ghana has a land area of 22.75 million hectares.
and Natural Resources Protection, while
responsibilit y for the management of state Ghanas GDP grew by 4.3 percent per year from
forests lies w ith the National Forestr y Agenc y 1990 to 2000 and by 6.6 percent per year from
and the Agenc y for Protected A reas. The value 2000 to 2014. The driving forces behind this
of ODA projects related to forests and economic growth were political stabilit y,
biodiversit y was around US$38 million in the consistency in policy implementation, structural
period 20022015; such projects contributed to changes in the economy, and increased exports
sustainable forest management, capacit y (including since 2010 oil). Northern Ghana
building, communit y forestr y, and forest law lags behind the rest of the countr y, however, with
enforcement and governance. povert y identified as a leading cause of food
insecurit y there.
The National Forestr y Concept of Georgia was
prepared in 2013 with the active participation of The rate of population growth over the period
stakeholders. Priorities for the National Forestr y 1990 2013 was 2.55 percent per year. Despite net
Policy, also approved in 2013, include rural-to-urban migration, the rural population
reforestation and the restoration of degraded increased from 9.3 million people in 1990 to
forests. As a first step towards restoration, 12.2million in 2014. An estimated 2.5 million
degraded areas prone to soil erosion and people live in, and are dependent on, forests.
landslides will be identified and action plans
prepared. As current laws reg ulating the forest Trends in food security, agriculture and forest
sector do not comply with the principles of condition
sustainable forest management, work began on a Ghana has achieved many of its food-securit y
new forest code in 2014. Work is also underway, targets in recent decades as a result of national
supported by donor organizations, to develop and sectoral policy inter ventions and investments
legislation aimed at encouraging the sustainable in agriculture and a consequent doubling of
use of non-wood forest resources. International agricultural production. The growing population
agreements will provide a framework for the new poses a continuing challenge, however.
forest legislation. Under the Biodiversit y Policy
and Georgias 20142020 Action Plan, the aim is The value-added contribution of agriculture,
to protect forest biodiversit y through the including forestr y and fishing, to Ghanas
introduction of best practices in sustainable economy increased by an average of 3.9 percent
forestr y by 2020. per year from 1990 to 2013, although its overall
contribution to GDP fell from 34 percent to
Box 4.4 presents the key factors contributing to 23percent over the period. The area of arable
positive trends in food securit y and forest cover land increased from 2.70 million hectares in
in Georgia. 1990 to 4.70 million hectares in 2013, and the
area of permanent crops increased from
1.50 million hectares to 2.70 million hectares.
The average value of food production per
person increased by 68 percent from 1990 1992
to 20112013.

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BOX 4.5

KEY FACTORS
CONTRIBUTING TO
POSITIVE TRENDS IN
Government investment in the ag riculture FOOD SECURITY AND
sector in the past 25 years has focused on FOREST COVER IN
GHANA
ag ricultural research and development; it
amounted to US$95million (0.4 percent of total
government expenditure) in 2007. Specialist
research institutes have developed and There has been political stability and
promoted improved ag ricultural techniques consistency in policy implementation.
and tackled crop diseases w ith the aim of The Economic Recovery Programme
increasing y ields. The area of irrigated recognized the importance of
ag ricultural land increased from modernized and sustainable
10000 hectares in 1997 to 34 000 hectares in agricultural production and sustainable
2012. A lthough government inter vention in the forest management as part of its vision
supply of inputs was abolished in 1990, for a structurally transformed economy.
fertilizer subsidies (of 50percent) were Agricultural productivity increased by
reintroduced in 2008 to improve smallholder applying the outcomes of research and
crop productiv it y; more than 730000 tonnes of development, investing in infrastructure
fertilizer were subsidized through this scheme (such as irrigation), the application of
in 2008 2013. Prog rammes to develop a fertilizers, and targeted support for
modern ag ricultural production and processing smallholders.
sector have also included value-chain Environmental impact assessments are
investment, improved extension ser v ices, the used to regulate the conversion of
streng thening of farmer associations, and the forest land to agricultural land, and
building of access roads. ODA in the vice versa.
ag riculture sector was US$146million in 2000 Forest governance has improved due
and US$126 million in 2010. to institutional reform and capacity
strengthening.
The most important agricultural commodities in Tree-tenure reform is ongoing to give
2012, by value, were yams, cassava, cocoa beans farmers the right of ownership in and
and plantains. The production of paddy rice more benefits from the trees they have
than doubled from 1996 to 2011 and cocoa and planted.
oil-crop production also increased, while coffee Private-sector investment in plantations
production fell. Food exports were worth has been encouraged through financial
US$2.9billion in 2011, which was about instruments (such as those funded from
23percent of total exports, and food imports levies on the export of air-dried
were valued at US$1.6 billion, which was lumber) and the allocation of land in
10 percent of imports. Cocoa accounted for degraded parts of forest reserves.
82percent of the value of agricultural raw- Stakeholder participation in policy
material exports, and the main imports were development has been encouraged
sugar, chicken meat and wheat. Food aid in the and policies introduced to safeguard
form of cereals, rice and wheat f lour has been the interests of communities and small
greatly reduced since 2010. and medium-sized forest enterprises.
Collaborative forest management
The agriculture sector consists mainly of approaches are used to improve
smallholder farmers. Within farming community access to forest benefits.
communities, customar y law g uides the
inheritance of rights to land and local-level land-
tenure agreements, although these are rarely
documented. The inheritance system
marginalizes women and affects their control of
productive agricultural land.

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CHAPTER 4 MAKING ROOM FOR FORESTS AND FOOD SECURITY

Forests cover 41 percent of Ghanas land area. Average annual wood removals increased from
The majorit y of forests is in public ownership: 17.1 million m 3 in 1990 1994 to 25.2 million m 3
in Ghana this means that forests are owned by per year in 1995 1999 and declined to
the people and managed and controlled by the 13.8million m 3 in 20072011. Most removals are
government for the benefit of the people and in for woodfuel, although the volume of industrial
the public interest. Forest reser ves and national wood removals has been relatively constant, at an
parks have legal protection. Naturally average of 1.3 million m 3 per year. The
regenerated trees are vested in the President, contribution of the forest sector to GDP was
on behalf of the people of Ghana, and are 3.38percent in 2011. Action under the FLEGT
managed by the Forestr y Commission, but voluntar y partnership agreement with the
individuals and private groups have rights to European Union has included initiatives to
the trees they plant in off-reser ve areas. The reduce illegal logging and improve wood
government allocates land in degraded parts of production efficiency in artisanal sawmills.
forest reser ves to private companies for Ghana is a net exporter of forest products: the
plantation development and to farmers for value of forest product exports was
intercropping food crops in the first years of US$283.2million in 2013 and the value of
plantation establishment (this is called a imports (mainly paper products) was
modified taung ya system). US$80.7million.

The Forest Plantation Development Fund was Policy, legal and institutional framework
established in 1999 to encourage private-sector The Economic Recover y Programme and the
investment in commercial plantations; the area of Accelerated Agricultural Development
planted forest increased from 60000 hectares in Programme have provided the basis for increased
2000 to 325000 hectares in 2015. The Forest agricultural production. The Economic Recover y
Plantation Development Fund is financed with Programme and the Povert y Reduction Strateg y
levies imposed on the export of air-dried lumber. recognize the importance of forests and the
The National Forest Plantation Development timber-processing industr y.
Programme was re-launched in 2010 with the aim
of planting 30000 hectares of forest per year. Agricultural and land-use policies focus on
increasing agricultural productivit y through
The drive towards sustainable agriculture and the modernization, intensification, sustainable land-
promotion of cocoa certification has increased the use practices and the application of science and
use of agroforestr y in the cocoa sector and led to technolog y to provide food securit y and
the establishment of agroforestr y research farms. employment opportunities and reduce povert y.
Communit y forest protection is encouraged in Reforms since the late 1980s have included
off-reser ve areas, where communit y resource strengthening institutional capacit y; the
management areas support the adaptation of privatization of ser vices such as fertilizer
farming practices that promote wildlife marketing and the provision of tractors and
conser vation and local economic benefits. veterinar y drugs; rural finance; tenure reform;
and measures to improve productivit y.
Although the forest area has increased as a result
of plantation development and agroforestr y, The aims of the 2012 forest polic y, which was
timber logging and the expansion of agricultural developed through a transparent consultative
land has degraded existing forest. The area of process and is w idely accepted by stakeholders,
closed forest declined by an average of include the rehabilitation and restoration of
46000hectares per year in 1990 2010, while the deg raded landscapes through plantation
area of open forest increased by 74000 hectares development and communit y forestr y;
per year. This has implications for biodiversit y in sustaining the supply of raw materials for
the high forest zones, and logging has been domestic and industrial consumption; and
prohibited in some forest reser ves. env ironmental protection.

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STATE OF THE WORLDS FORESTS 2016

Legislation related to land, agriculture and Tunisia


forests deals with specific issues and sectors,
including land rights and registration, animal Economic and demographic context
health, environmental protection, soil Tunisia is an upper-middle-income countr y in
conser vation, bushfires, wildlife conser vation, northern Africa. It had a population of 11million
the cocoa and fruit industries, and timber people in 2014 and a GNI per capita of
marketing. There is also a legal requirement US$4210(Int$10600 using PPP exchange rates).
that stakeholders, such as district assemblies, Tunisia has a land area of 15.54 million hectares.
are engaged in the preparation of local
development plans, although this does not Tunisias GDP grew by an average of 4.7 percent
generally apply to agriculture or forestr y. per year from 1990 to 2000 and by 3.9percent
Overall, the legal environment is complex, and from 2000 to 2014 (a period in which economic
legislation has not always kept pace with policy growth was affected by the 2011 revolution).
developments. Although farmers may cut timber Industr y has improved its competitiveness since
to prepare farmland provided the timber is not 1990 and has responded positively to the
used for economic gain, investors who acquire European Unions removal of import tariffs on
forest land and want to use it for agricultural industrial products.
purposes may be required to undertake an
environmental impact assessment and secure The rate of population growth in Tunisia fell
authorization. The same procedure applies to from an average of 1.59 percent per year in
the conversion of agricultural land to forest. 1990 2000 to 1.0 percent per year in 2000
Under environmental assessment reg ulations, 2014. The proportion of the total population
mitigation action or compensation may be living in rural areas fell from 42 percent in
required if the loss of forest or agricultural land 1990 to 33 percent in 2013, although the
is unavoidable. absolute number increased from 3.4 million to
3.6 million. An estimated 734000 people live
The Ministry of Lands and Natural Resources has in or near forests, and their average income is
overall policy responsibility for forests, and the less than one-third the national average;
Forestry Commission is responsible for regulating nevertheless, forests provide income
the use, conservation and management of forest opportunities and are important sources of
and wildlife resources. Forest governance has food and energ y.
improved as a result of institutional reforms, which
have included placing greater emphasis on Trends in food security, agriculture and forest
stakeholder participation and collaborative condition
forestmanagement. Even though, overall, Tunisia has a high level of
food securit y, poorer people face food insecurit y.
Forest-related ODA averaged US$32 million per
year in the period 19892009. A major The value-added contribution of agriculture,
programme was the Forest Resource Management including forestr y and fishing, to Tunisias
Programme (19891997), which strengthened the economy increased by an average of 2.6 percent
capacit y of reg ulator y institutions and made per year from 1990 to 2013, although its overall
other inter ventions in forest management, contribution to GDP fell from 12 percent to under
reforestation, policy reform, livelihood support 9 percent in the same period. Although there has
and biodiversit y conser vation. been little overall change in the area of arable
land, the area under permanent crops increased
Box 4.5 presents the key factors contributing to from 1.94 million hectares in 1990 to 2.28 million
positive trends in food securit y and forest cover hectares in 2013, including the expansion of olive
in Ghana. tree plantations in rangelands. The average value
of food production per person increased by
15percent from 1990 1992 to 20112013.

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CHAPTER 4 MAKING ROOM FOR FORESTS AND FOOD SECURITY

Increased agricultural production in Tunisia can be reg ulation. Special authorization is needed to
attributed to improved yields, the better use of har vest forest designated for the prevention of
existing agricultural land, increased irrigation and erosion, the protection of water sources or the
fertilizer use, mechanization, improved seeds, and conser vation of endangered species. Most private
better farming practices. Drought can reduce forest was established in the 1960s, often to fix
production in some years. Irrigated land contributes sand dunes or provide windbreaks. Forest
3040 percent of agricultural production, although expansion continues in marginal areas of low
it represents less than 10 percent of the total area of agricultural value; this also helps increase forage
arable and permanent crops. production for sheep and goats. The total forest
area is increasing, mainly through the
In 2012, the most important agricultural establishment of planted forests: the area of
commodities (by value) were olives, tomatoes, planted forests increased from 293 000 hectares
milk, wheat, almonds, chicken meat, chillies and in 1990 to 725 000 hectares in 2015. Deforestation
peppers, beef, and dates. Production has has been averaging about 500 hectares per year
increased since 1990 of livestock products, olives, since 2010.
tomatoes and watermelons. The balance of trade
in agricultural and food products is generally The contribution of the forest sector to GDP was
negative: the main imports, by value, are wheat, 0.1 percent in 2011, but many forest goods and
sugar, soybean oil and maize, and the main environmental ser vices are not marketed and
exports are olive oil, dates and maize oil. Food therefore not included in this fig ure. Average
accounted for about 10 percent of imports in 2011 annual wood removals averaged 0.23 million m 3
and for 8 percent of exports. The last food aid per year from 1990 to 2010 (var ying from
shipments to Tunisia were in the late 1990s. To 0.11 million to 0.37 million m 3 per year), about
help protect producers, including small farmers, half of which was woodfuel. The main forest
from the impacts of f luctuating markets, the products are cork (49 percent of total value),
government maintains certain import barriers wood (25percent) and other non-wood products.
and provides price support for specified products The government earned 10 million Tunisian
(such as cereals, milk and sugar beet) and some dinars (TND)20 from forest products in 2012, but
input subsidies. the full economic value of forest goods and
environmental ser vices was estimated at
Tunisia has 4.7 million hectares of private land, TND182 million, which incorporated both the
which includes 54 000 hectares of forest; about social benefits (valued at TND208 million) and
4million hectares of collectively owned the cost of degradation (valued at
rangelands; and 1.3 million hectares of state- TND26million). Social benefits include forage for
owned land, which includes 0.9 million hectares livestock (38percent), carbon sequestration
of forest. Only 3 percent of farms are larger than (24percent), non-wood forest products
50 hectares, but they occupy 34 percent of the (12percent), protection against erosion and the
agricultural land. Fift y-four percent of farms are siltation of reser voirs (12percent), wood
less than 5 hectares in size and cover 11 percent (5percent), the option value of pharmaceutical
of the agricultural land; the number of small plants (6percent), and cultural value (2percent).
farms is increasing as the land is subdivided
through inheritance. Despite its increase in forest cover, Tunisia
remains highly dependent on imports of forest
Forests cover 6.7 percent of Tunisia. Forest land, products. In 2013, the value of forest product
which is mostly in mountainous areas, is imports was US$388 million and the value of
considered unsuitable for agriculture, both for forest product exports was US$37 million. The
environmental reasons and because agricultural main imports are sawnwood and chemical pulp,
production would be ver y low. Most forest is in while the main exports are paper products and
public ownership, but forests on private and
collectively held land are also subject to 20 On 31 December 2012, US$1 = TND 1.55.

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BOX 4.6

KEY FACTORS
CONTRIBUTING TO
POSITIVE TRENDS IN
cork; non-wood products, such as essential oils FOOD SECURITY AND
from rosemar y and thyme, are also exported. FOREST COVER IN
Policy, legal and institutional framework TUNISIA
The Social and Economic Development Plan
(2010 2014) and a new plan now in preparation Poverty and population growth have
place priorit y on economic growth, povert y both declined.
reduction, regional integration and sustainable National development plans recognize
development. The plans recognize the role of the beneficial role of forests in
forests in protecting land against erosion and protecting land against erosion and
desertification and the need to involve local desertification. Forests are an integral
people to achieve successful forest protection. element in the agriculture policy with
Agriculture policy priorities are food self- the aim of conserving water resources,
sufficiency, competitiveness, exports, and the protecting agricultural land from
conser vation of natural resources. erosion, preventing flood risk, and
increasing agricultural production.
Forest policy is an integral element of Agricultural production has increased
agriculture policy because of the important role through intensification that makes better
of forests in protecting watersheds. There is use of existing agricultural land through,
considerable scope, however, for more effective for example, irrigation, fertilizers,
policy coordination and the better integration of mechanization, improved seeds and
forest policies with those related to, for example, better farming practice.
agriculture, watershed management, Significant government and official
biodiversit y conser vation, recreation, climate- development assistance funds have been
change adaptation and mitigation, and invested in agricultural and forestry
sustainable development. development. This has improved
agricultural productivity while
The existing forest strateg y has a target of expanding forest cover to provide forest
increasing the forest area from 8.2 percent in products and environmental services
2014 to 9.2 percent in 2024. The President and employment for poorer people
personally reviews progress towards this target living in or near forests.
annually (on Tree Celebration Day); the success Incentives are available for establishing
achieved in increasing forest cover can be plantations, including free seedlings and
attributed to support from policymakers, which compensation for the loss of agricultural
has led to funding allocations in public budgets income.
and ODA. Forest development is a political
priority, and a financing strategy for
The Directorate General for Forests in the forests is in place to help mobilize
Ministr y of Agriculture is responsible for funds, including official development
applying the Forest Code, managing state assistance, for the implementation of
forest land, and promoting forest expansion. It forest policies.
has 424engineers and technicians and about Regulations for controlling land-use
12000workers, half of whom are forest change and protecting forests are
g uards. The forest g uards control illegal enforced.
activities, such as the clearing of forests for
conversion to agriculture. Offenders are
prosecuted, except where tolerance is shown
for minor offences arising from poor
socioeconomic conditions.

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CHAPTER 4 MAKING ROOM FOR FORESTS AND FOOD SECURITY

A system was introduced in 2005 to devolve Box 4.6 presents the key factors contributing to
forestr y activities to local communities, non- positive trends in food securit y and forest cover
governmental organizations and the private in Tunisia.
sector for the co-management of forest
resources. Under the Forest Code, the minister
may grant temporar y occupancy permits and Viet Nam
longer-term concessions over state forest land
where it is in the public interest or where it Economic and demographic context
promotes silvopastoral development, or for Viet Nam is a lower-middle-income countr y in
sustainable forest management projects. The Southeast Asia. It had a population of
concessions relate to, for example, forest 90.73million people in 2014, and its GNI per
nurseries, the establishment of plantations, capita in 2012 was US$1890 (Int$5350 using PPP
rangeland improvements, and investments in exchange rates). The countr y has a land area of
ecotourism. Public procurement rules apply to 31.01 million hectares.
the granting of concessions.
Viet Nam was among the worlds poorest
The government spent US$791 million on countries in 1990, but since then its GDP has
agriculture, forestr y and fishing in 2012, which grown at an average rate of 6.9 percent per year.
was 4.2 percent of total outlays; this was down The achievements of the past 25 years are due
from 7.7 percent of total outlays in 2002. Such largely to a process of economic reform known as
expenditure funds research and development, Doi Moi launched in 1986. Doi Moi abolished the
irrigation, improved agricultural production and centrally managed system, which was dependent
watershed management, and forest programmes. on state subsidies, and shifted the focus to a
market-driven economy featuring trade
Developing a financing strateg y for forests has liberalization, land-tenure reform, and reforms in
helped mobilize funds from the national budget the agriculture and forest sectors.
and forest revenues for priorit y tasks, and
overcome dependence on ODA. The rate of population growth fell from
1.63percent per year in 1990 2000 to 1.12 percent
In 19922015, 61 percent of the national budget in 2000 2014. The percentage of the total
for forests and pastoral areas was used for population living in rural areas declined from
plantations, 13 percent for protection against 80percent in 1990 to 68 percent in 2014, although
fire and insects, and 10 percent for the absolute number increased from 54.96million
infrastructure. Forest-related funding is also to 62.06 million. It is estimated that around
expected to provide jobs for poor and 25million people live in or near forests in
unemployed people in marginal rural areas VietNam.
(although this can reduce the cost-effectiveness
of work programmes). Although incentives for Trends in food security, agriculture and
establishing plantations meet 30 50 percent of forest condition
the costs of doing so, landowners remain Food security has increased significantly in VietNam
concerned about being subject to the strict in the last 25 years; once a net importer of staple
forest regime and about the profitabilit y of foods, the countr y is now one of the worlds top
forest plantations compared with land uses such rice exporters.
as fruit, nut or honey production. Incentives for
forest plantations also include free seedlings, Agricultural production contributed 34percent to
and compensation for a loss of income for the national GDP in 1990. The structure of the
first three years. Despite an overall decrease in economy has changed, however, and ser vices now
ODA in real terms, Tunisia has been able to account for 44 percent of the economy, industr y
harness international funds for forests because for 38 percent and agriculture, including forestr y
it has identified forest development as a priorit y. and fishing, for 18 percent. The value added of

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STATE OF THE WORLDS FORESTS 2016

agriculture, forestr y and fishing increased in real from the state must comply with the Vietnamese
terms by an average of 3.9percent per year from Good Agricultural Practices, representing the
1990 to 2013. The area of arable land increased national standards for production, food safet y,
from 5.34 million hectares in 1990 to 6.41 million environmental work and product traceabilit y.
hectares in 2013, the area under permanent crops
increased from 1.04 million hectares to Production patterns have changed in accordance
3.82million hectares, and the area of permanent with market signals and crop yields. In 2012, the
meadows and pastures increased from most important agricultural commodities, by
0.33million hectares to 0.64 million hectares. value, were rice, pork, vegetables, coffee, fresh
The average value of food production per person fruit, cashew nuts, cassava, rubber, beef and
doubled from 1990 1992 to 2010 2013. chicken meat. The main agricultural raw-material
exports, by value, were coffee, cashew nuts,
With the introduction of Doi Moi, farm cassava, pepper, fresh fruit and tea, while the
households became independent production main imports were soybean cake and soybeans,
units, and farmers were given securit y of land chicken meat, wheat, distilled alcoholic beverages
tenure and allowed to transfer their land rights. and palm oil. In 2011, food (excluding fish)
The period of tenure, which is renewable, is now exports were worth US$6.9billion, which was
30 years for annual crops and 70 years for trees about 7percent of the value of all exports (if fish
and perennial crops. Previously, collectives held are included, food accounted for about 12percent
most agricultural land. Individuals and of all exports), and food imports were worth
households held 53percent of agricultural land in US$7.1billion, which was 7 percent of all
2013, state agencies 20 percent, communal imports. Despite being a net food-exporting
peoples committees 13 percent, and domestic countr y, VietNam has received food aid in the
economic organizations 11 percent. last 25 years, consisting mainly of cereals and
wheat f lour.
Investment in the agriculture sector has grown,
with domestic private sources representing Viet Nams forest cover increased from a low
73percent of investment in 2005; foreign direct point of 28percent in the 1990s to nearly
investment is also significant. Public investment 40percent 21 in 2013, despite continuing
in agricultural research and development more deforestation and forest degradation. The area of
than doubled in real terms between 2000 and primar y forest declined from 384000 hectares in
2010. The percentage of arable land equipped 1990 to 85000 hectares in 2005 but has now
with irrigation also increased, from 53.7 percent stabilized. The area of other naturally
in 1990 1992 to 71.7 percent in 2010 2012. regenerated forest increased steadily from
8.0million hectares in 1990 to 11.0million
Agricultural policy instruments include specified hectares in 2015. The area of planted forest also
exemptions from agricultural land-use taxes and increased, from 0.97million hectares in 1990 to
fees; soft loans; export promotion; price 3.66million hectares in 2015; this includes rubber
g uarantees for rice-growers at levels ref lecting plantations, the area of which increased from
the production cost plus 30 percent; support for 0.22million hectares in 1990 to 0.91million
purchasing machiner y and equipment; incentives hectares in 2012.
to reduce post-har vest losses; and contributions
towards agricultural insurance premiums. These There has been a major shift in forest tenure in
support mechanisms also form part of rural the last 25 years, away from state forestr y toward
development and povert y alleviation people-centred forestr y. The 152 state forestr y
programmes, which include a development companies were managing a forest area of about
programme for ethnic minorities and 1.9 million hectares in 2013, and local people
communities in remote and mountainous areas.
Domestic government spending on agriculture 21 According to national statistics and excluding rubber and special-
was US$1.68 billion in 2013. Recipients of support products trees.

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CHAPTER 4 MAKING ROOM FOR FORESTS AND FOOD SECURITY

were managing more than 28percent of the total rights and interests of all actors. There is also
forest area. There is now an estimated scope for civil societ y organizations to encourage
4500private forest companies, and village-level more stakeholder participation in agricultural
forest management boards have been established and forest development activities.
in more than 10 000 villages. In 2012 there was
2.14 million hectares of special-use forests Challenges in enforcing legislation include land-
(national parks, nature reser ves, tourism and use conf licts, where farmers face pressure to
spiritual forests, and research forests) and convert their land into other uses; corruption and
5.83million hectares of watershed protection f laws in the land administration system, with
forests. Average annual wood removals declined incomplete land dossiers for identif ying land-use
from 31.2 million m 3 (85 percent of which was rights; confusion caused by changing land
woodfuel) in 1990 1994 to 27.1 million m 3 (75 policies and land-use rights regimes; and a lack
percent of which was woodfuel) in 20072011. of recognition of customar y tenure in statutor y
Industrial wood removals increased over the law, which is a particular problem in
same period, from 4.67 million m 3 per year to mountainous areas, where there are high
6.70million m 3 per year. Production is increasing percentages of ethnic minorit y groups.
fastest for medium-densit y fibreboard, wood
pellets and paper products. In 2013, the value of The Viet Nam Forestr y Administration is an
forest product imports was US$2.49billion and agency under the Ministr y of Agriculture and
the value of forest product exports was Rural Development. It has around 20 000 staff,
US$1.86billion. The value of exports has grown including 180 at the national level, and it
by an average of 25 30 percent in the last decade, monitors forest law enforcement. As stated above,
with Viet Nam becoming a major producer of local communities have tenure to about
wooden furniture. 28percent of the total forest area, but this only
produces desirable outcomes if local communities
Policy, legal and institutional framework can put their rights into effect. The forestr y
The objectives of the Comprehensive Strateg y for administration has limited capacit y to support
Growth and Povert y Reduction to 2005 and local forest management, facilitate participator y
towards 2010 included more efficient and processes, and meet the needs of ethnic groups
diversified agricultural production, the who do not understand Vietnamese.
development of forestr y to become an effective
business contributing to rural employment, Public investment in forestr y has increased.
enhanced access to financial ser vices and rural Programmes have included the re-greening of
credit, and long-term household economic bare land and denuded hills; The Five Million
development. Agriculture and forest policy Hectare Reforestation Program (for the
documents have specific aims, such as the development of production forests); and support
proportion of agricultural land to be converted to in the form of land and forest allocations,
fodder production areas for livestock, and a forest price support, low interest loans and free
cover target of 43 45 percent by 2020. technical advice for smallholders, local ethnic
communities and people living in remote
Land laws reg ulate the conversion of land, upland areas. Communit y-based forest
including agricultural and forest land, to other management has been introduced to involve
uses; they state that this must be based on local people in forestr y activities, for example
approved land-use planning and master plans, through the forest land allocation programme
which form part of national-level land-use and forest protection contracts with local
planning documents. There is a legal obligation households. A PES scheme to support
to engage stakeholders in land-use planning sustainable forest management, livelihood
processes and potential to address land-use improvement and environment protection was
conf licts collaboratively, seeking to avoid win piloted in 2008 and became part of the national
lose situations and taking greater account of the policy in 2010.

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BOX 4.7

KEY FACTORS
CONTRIBUTING
TO POSITIVE TRENDS
ODA plays an important role in forest investment, IN FOOD SECURITY
far exceeding expenditure on forests by the AND FOREST COVER IN
VIET NAM
Government of Viet Nam. ODA, which amounted
to US$85 million in 2010, has helped fund
sustainable natural forest management; the
processing, trade and marketing of forest products; Economic reform, including trade
the development of institutional capacity; action liberalization, integrated Viet Nam into
related to the voluntary partnership agreement the global economy; agricultural reform
under the European Unions FLEGT initiative; and placed farm households at the centre of
REDD+-related activities. economic activities; and state forest
enterprises were restructured to become
Box 4.7 presents the key factors contributing to business-like enterprises.
positive trends in food securit y and forest cover Political will has existed for maintaining
in Viet Nam. and increasing forest cover, with policy
directions translated into sectoral
Box 4.8 reports on a separate study in the strategies, programmes and plans.
Republic of Korea, which offers many of the same National-level land-use planning documents
insights as the case studies presented above. The have been used to inform decisions on land
full report of that study 22 highlights the benefits conversion, including from agricultural and
of forest rehabilitation in improving food securit y forest land to other uses.
and sustainable livelihoods. n Support has been given to both the
agriculture and forest sectors, with
clear targets for agricultural
development, food production and
forest protection and development.
Land tenure was reformed to provide
secure land tenure as a way of
encouraging long-term investment.
Policy instruments have been applied to
promote the implementation of an
agriculture policy aimed at increasing
agricultural productivity. These include
land tax exemptions; soft loans; export
promotion; price guarantees; support for
mechanization and reductions in post-
harvest losses; and contributions towards
agricultural insurance premiums.
Financial instruments, such as payments
for forest environmental services, have
been used to support sustainable forest
management, livelihood improvement and
environment protection.
There has been a shift from state forestry to
multistakeholder forestry, with a focus on
the active participation of local people and
community-based forest management,
including the forest land allocation
programme and forest protection contracts
with local households.
22 Available via State of the Worlds Forests website.

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BOX 4.8

INTEGRATED POLICY FOR FORESTS, FOOD


SECURITY AND SUSTAINABLE LIVELIHOODS
LESSONS FROM THE REPUBLIC OF KOREA
Koreans have traditionally relied between urban and rural communities.
heavily on forests for timber, woodfuel Saemaul Undong contributed to
and non-wood forest products such as reforestation through small-scale
mushrooms and edible wild greens. In village-level self-help projects such as
the 1950s and 1960s, the Republic of nurseries and plantations for woodfuel
Korea was one of the worlds poorest and erosion control. These community
and least-developed countries, and projects also provided jobs and
half its forest cover had been lost payments (either in wages or food) that
through slash-and-burn agricultural helped people overcome hunger and
practices, large-scale land conversion brought vitality to the rural economy. To
and the excessive extraction of timber reduce pressure on forests, the
and woodfuel. This deforestation rehabilitation programme banned the
caused severe erosion and use of woodfuel in 20 cities and
exacerbated the impacts of droughts introduced alternative sources of
and floods, leading to decreased energy for cooking.
agricultural production and the loss of Forest rehabilitation contributed to
lives and property. Attempts to meet food availability through the planting
food needs led to further deforestation of fruit and nut trees, especially
and further threats to food security. chestnut. Income from forest
Breaking this vicious circle was the rehabilitation projects improved food
rationale for an intensive forest access by enabling people to buy
rehabilitation programme that began food. Restored mountain forests
in the 1960s and led to two successful contributed to food utilization by
Ten-Year Forest Rehabilitation Plans in supplying clean water for cooking,
the 1970s and 1980s. The and food from fruit and nut trees
government saw that restoring forests, helped diversify diets. Food security
especially in mountain watersheds, improved as forests controlled erosion
would help prevent agricultural and protected watersheds.
disaster and provide a solid
foundation for food production, and it LESSONS LEARNED
would be fundamental for overcoming
poverty and developing the national The experience in the Republic of
economy. As a result of this massive Korea demonstrates that achieving food
forest rehabilitation effort, the forest security through forest rehabilitation
growing stock increased nearly 14-fold and sustainable forest management is
in the period 19552010, from most likely to be successful if there is:
58million m3 to 800 million m3. an integrated approach to ensure
The government integrated that relevant sectors work together;
rehabilitation plans with the New peoples participation, with
Community Movement (Saemaul opportunities for them to benefit
Undong), a community-based, and earn income;
integrated rural development strong political will and
programme aimed at improving village leadership; and
conditions, introducing new attitudes a holistic approach to economic
and skills and reducing the income gap and social development.

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STATE OF THE WORLDS FORESTS 2016

4.3COMMON THEMES
differences include the wide range of farm sizes
(e.g. many farms in Chile are larger than

AND LESSONS
2000hectares, while farms less than 1hectare in
size are common in Georgia and Viet Nam); the

LEARNED: HOW TO
relatively greater importance of food imports for
food securit y in the Gambia and Georgia; the

IMPROVE FOOD
development of plantation forest resources in
Chile, Ghana, Tunisia and Viet Nam; and the

SECURITY AND
high value of forests for ecotourism in Costa Rica.

INCREASE FAVOURABLE ECONOMIC CONDITIONS

AGRICULTURAL All the case-study countries have experienced


economic growth in real terms since 1990,

PRODUCTION
although for a variet y of reasons the rate of
growth has not always been steady. Much of the

WITHOUT REDUCING
growth has been associated with economic
reforms initiated in the 1980s or 1990s. These

THE FOREST AREA


reforms, which included strengthening the
private sector, trade liberalization measures, and
the transformation of the public sector, caused
The seven case studies presented in this chapter structural changes in the economy, usually with a
demonstrate ways in which it is possible to higher proportion of value added in the ser vices
improve food securit y and reduce povert y sector. Ty pically, such reforms also led to the
through integrated approaches to landscape withdrawal of at least some of the trade barriers
management that include developing stronger that protected domestic producers.
synergies between agriculture and forestr y. The
case studies revealed a number of common In the forest sector, most countries have
themes, including the importance of: favourable transferred management responsibilities from the
economic conditions; policies that consider the state to the private sector and to smallholder
agriculture and forest sectors in a balanced way; farmers and local communities, at least to some
a market-oriented agricultural policy that extent. In most countries, the value added in
includes social and environmental safeg uards; agriculture (including livestock, forestr y and
policies that recognize the full economic, social fisheries) has grown in real terms since 1990 but
and environmental benefits of forests; using the fallen as a percentage of GDP because of more
right policy instruments to increase agricultural rapid growth in other sectors of the economy.
productivit y and promote sustainable forest
management; an effective legal and institutional Most case studies highlighted the links between
framework; adequate funding for implementation; povert y and food insecurit y and the importance
devolving forest management rights to local of including povert y eradication and the
communities; and promoting integrated land use. reduction of inequalit y as key national economic
policy objectives. For example, povert y is a
It is important to note, however, that there are leading cause of food insecurit y in northern
also significant differences between the case- Ghana, which lags behind the rest of the countr y
study countries, for example in terms of in its economic growth; in Costa Rica, poorer
geography; natural advantages for particular people including landless rural families still
agricultural products and forest t ypes; histor y, suffer from food insecurit y. In the Gambia, most
with its implications for political systems and agricultural producers need to buy imported
land tenure; demographics; and level of economic food, which increases their v ulnerabilit y to
development. Specific examples of these external price f luctuations; food insecurit y is

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CHAPTER 4 MAKING ROOM FOR FORESTS AND FOOD SECURITY

generally greater in households headed by generally shifted towards research, development


women. While some countries have benefited and extension with the aim of improving
from food aid programmes, favourable economic competitiveness, stimulating innovation, and
conditions mean that governments are communicating science-based best practices to
increasingly capable of addressing food securit y farmers. Direct price support and input subsidies
in more v ulnerable communities without the have usually been reduced, although not always
need for such assistance. eliminated; other public-sector inter ventions
have focused on, for example, the development of
A BALANCED POLICY rural finance and microcredit, and export
APPROACH TO THE AGRICULTURE promotion. It has proved possible to increase
agricultural production through intensification
AND FOREST SECTORS
rather than the expansion of agricultural land.
A number of the case studies demonstrate the
value of governments developing policies and Since 1990 there have been considerable changes
policy instruments that recognize the importance in the proportions of land used for arable
of forests to agriculture and food securit y. This farming, permanent crops, and permanent
approach has helped achieve positive meadows and pastures for livestock. The case
developments in the forest sector while also studies attribute these changes, as well as
improving food securit y and agricultural changes in crop production patterns, to farmer
productivit y. In Chile, Ghana and Viet Nam, for responses to price signals from both domestic
example, policy recognition of the potential of and international markets, as well as to the
both agriculture and forests has led to strong and impact of government policies on trade barriers,
effective support for both sectors. In Costa Rica, tariffs and support regimes.
the role of primar y forests in ecotourism and
more generally as a key element of the countr ys A number of case studies showed that the drive
strong environmental credentials has put forest towards a modernized and open agricultural
policy on an equal footing with agriculture and economy should include safeg uards for
food policies. The benefits of forests for v ulnerable groups in the population,
agriculture are well-recognized in Tunisia, and smallholders, and the environment. Such
the forest policy there is regarded as an integral safeg uards are important for a number of
part of the agriculture policy. Food securit y can reasons, including for ensuring that policies do
also be improved where there are supportive not exacerbate povert y and food insecurit y,
policies for forests that bring benefits to rural protecting against the impact of increased
livelihoods, help alleviate povert y, provide a exposure to global market f luctuations caused by
source of food and woodfuel, and maintain trade liberalization, and preventing
essential environmental ser vices. environmental damage from more intensive
agricultural production (the Gambia case study
MARKET-ORIENTED AGRICULTURE WITH cited rice production as an example of this).
SOCIAL AND ENVIRONMENTAL These safeg uards include food aid (which
SAFEGUARDS generally has decreased as food securit y has
improved in the case-study countries); various
As part of wider economic reform programmes, forms of social assistance for v ulnerable
policies for agriculture and natural resources households; and targeted measures such as price
have t ypically sought to create diversified support, input subsidies and public procurement
modern agriculture sectors offering sustainable rules to encourage local food production.
food securit y by improving productivit y and Support programmes for smallholders in Chile,
increasing investment (especially by the private for example, have included non-reimbursable
sector) and through some degree of trade financial incentives for agroforestr y and
liberalization. Through such reform processes, agricultural investment; a programme to improve
the focus of public-sector investment has agriculture, income and qualit y of life in

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NEPAL
Potted seedling in a forest
nursery that is part of a
wood-for-energy project.
@FAO/F. McDougall
CHAPTER 4 MAKING ROOM FOR FORESTS AND FOOD SECURITY

indigenous communities; a programme to than three-quarters of the population depends


develop financial and business skills in heavily on forest resources for domestic
smallholder organizations; and credit energ y, food, fodder, construction materials
programmes linked to irrigation and natural and poles. In Costa Rica, forests make
forest management. In Viet Nam, rural substantial contributions to the tourism sector,
development and povert y alleviation but the economic value of this contribution is
programmes, including those promoting not recognized in national accounts. The non-
socioeconomic development in ethnic minorities market environmental benefits of forests, such
and remote communities with special as climate-change mitigation, the reg ulation of
difficulties, provide price support and subsidies water f lows and soil conser vation, are rarely
to purchase machiner y, equipment and included in economic accounts. In Tunisia, for
agricultural insurance. example, healthy forests, covering 75percent
of the landscape, reduced the potential
POLICIES THAT RECOGNIZE THE FULL siltation of reser voirs by 35 percent, but this
ECONOMIC, SOCIAL AND ENVIRONMENTAL benefit is not ref lected in the countr ys
BENEFITS OF FORESTS national accounts. To secure the political
commitment necessar y to implement policies
In most case-study countries, forest policies aimed at reducing deforestation and increasing
contribute to wider economic development and forest cover effectively it is essential that the
povert y reduction programmes. The Economic non-market benefits of forests are properly
Recover y Programme in Ghana, for example, recognized, despite the difficult y in giving
recognized the importance of both forestr y and them a monetar y value.
agriculture in achieving its vision for a
structurally transformed economy, and Chile has USING THE RIGHT POLICY INSTRUMENTS
also recognized the economic value of planted TO INCREASE AGRICULTURAL
forests. In Tunisia, the Social and Economic PRODUCTIVITY AND PROMOTE
Development Plan highlights the role of forests in SUSTAINABLE FOREST MANAGEMENT
protecting land from erosion and desertification,
and the President annually reviews progress In addition to developing suitable policies for
towards the forest expansion target. An objective improving agricultural productivity and promoting
of Viet Nams Comprehensive Strateg y for sustainable forest management, countries need to
Growth and Povert y Reduction to 2005 and deploy appropriate instruments to promote
toward 2010 is for forestr y to become an effective implementation. Several case-study countries have
business that contributes to rural employment. In used fiscal measures (such as incentives and tax
Georgia 2020 (Georgias strateg y for social and breaks) and regulatory tools to do this.
economic development), the protection and
rational use of forest resources is listed as a Chile, for example, has provided significant
priorit y in recognition that attention to forests incentives for the greater use of fertilizers and
will significantly improve the social and the installation of sophisticated irrigation
economic situations of people and that equipment, as well as for the restoration of
agricultural development depends on the health degraded soils, and extension ser vices are
of forest ecosystems. available aimed especially at small-scale
producers. Government investment in Ghanas
Although the percentage contribution of agriculture sector has focused on agricultural
forests to GDP is low in all the case-study research and development with the aim of
countries, such percentages, which are based developing and promoting technologies that can
on national accounts, fail to ref lect the full improve agricultural productivit y and combat
economic contributions of forests. In the threats to crops posed by disease. Increased
Gambia, for example, where forestr y officially agricultural production in Tunisia has been
contributes about 0.5 percent of GDP, more obtained through the better use of existing

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STATE OF THE WORLDS FORESTS 2016

agricultural land, increased irrigation, the greater most countries to improve the legal and
use of fertilizers, mechanization, improved seeds, institutional frameworks.
and better farming practices. Viet Nam doubled
its public investment in agricultural research and In Viet Nam, land-tenure reform was undertaken
development between 2000 and 2010. to encourage long-term investment in land. A
Agricultural policy instruments in that countr y tree-tenure reform process is underway in Ghana
include exemptions from agricultural land-use aimed at giving farmers the right to har vest trees
taxes, soft loans, export promotion measures, they have grown. The case studies on the Gambia
price g uarantees, support for mechanization, and Ghana illustrate the complexities,
incentives to reduce post-har vest losses, and uncertainties and inequalities that can arise
contributions to agricultural insurance premiums. when customar y and statutor y tenure
Those receiving support from the state must arrangements co-exist. Tenure arrangements can
comply with the Vietnamese Good Agricultural also marginalize women: even when women have
Practices code. ownership rights to land, their access to forest
products and opportunities for forest-generated
In Costa Rica, a PES scheme has helped income may not be assured. Traditions of
strengthen protected areas and develop biological inheritance may reduce the average size of farm
corridors, provided farmers with incentives to holdings, adversely affecting agricultural
plant trees, and supported forest conser vation in efficiency. In Viet Nam, the lack of recognition of
indigenous territories. In Ghana, private-sector customar y tenure in statutor y law particularly
investment in plantations has been encouraged creates problems in areas with a high proportion
by the Forest Plantation Development Fund of ethnic groups. Other challenges in Viet Nam
(funded by levies on the export of air-dried include confusion caused by frequent changes in
lumber) and the allocation of land in degraded land-tenure arrangements; the need to help local
areas of forest reser ves. Incentives for communities understand how they can benefit
establishing plantations in Tunisia have included from their legal tenure rights; and incomplete
free seedlings and compensation for the loss of land dossiers recording rights to land. In Chile,
agricultural income. indigenous communities are raising concerns
regarding their ancestral rights over land now
LEGAL AND INSTITUTIONAL FRAMEWORKS occupied by forest plantations.

All countries featured in the case studies The case studies provide examples of the use of
demonstrate the importance of effective legal regulations in land-use change. Costa Rica has legal
and institutional frameworks for promoting food controls to prevent changes in land use for natural
securit y, ensuring a productive agricultural forests. Ghana requires that environmental impact
sector and managing forest resources assessments are undertaken before the significant-
sustainably. Critical elements for improving scale conversion of forest land to agriculture or of
food securit y while maintaining or increasing agricultural land to forest. Land laws in Viet Nam
forest cover include the need for predictable and regulate the conversion of land, including
secure land tenure so that landholders have agricultural and forest land, to other uses. In
incentives to improve the productivit y of their Tunisia, special authorization is needed to harvest
lands and manage them sustainably, and protection forests designated for the prevention of
measures to reg ulate land-use change. Some erosion, the protection of water resources, or the
case studies highlighted the important role of conservation of endangered species.
producer organizations as part of the
institutional framework and the need to The enforcement of such laws remains a
strengthen them through capacit y-building challenge. Problems can arise from a lack of staff
programmes. Despite their successes in capacit y to monitor and address activities on the
improving food securit y without reducing forest ground; corruption; and a lack of understanding
area, however, there is a continuing need in of the rationale for reg ulations, leading to a lack

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CHAPTER 4 MAKING ROOM FOR FORESTS AND FOOD SECURITY

of communit y and stakeholder support for example, the government was able to harness
enforcement. Even when an effective process for ODA (even though it was decreasing) because it
reg ulating land-use change is in place, the identified forest development as a strong priorit y.
interests of those proposing forest conversion or In Ghana, ODA has had a significant impact by
exploitation may carr y more weight than the strengthening institutional capacit y and
interests of those seeking to protect the forest. supporting policy reform. The Viet Nam case
study identified technical assistance from the
ADEQUATE FUNDING international communit y as a key factor
FOR IMPLEMENTATION contributing to positive trends.

All the case studies emphasize the importance of The case studies demonstrated the importance of
adequate funding for implementing policies and simultaneous public-sector investment in the
promoting sustainable agriculture and forestr y agriculture sector, the forest sector and rural
through legal and institutional frameworks and development in order to achieve food securit y
instruments. Sources of funds include the while maintaining or increasing forest cover.
domestic private sector, the state, foreign direct
investment, and ODA. Despite a lack of DEVOLVING FOREST MANAGEMENT
comprehensive information, there appears to RIGHTS TO LOCAL COMMUNITIES
have been a general shift in case-study countries
towards encouraging private-sector investment Several case studies highlighted the importance
and access to credit aimed at improving of devolving forest management rights to local
agricultural productivit y, establishing forest communities. They noted that the effective
plantations and developing processing industries. implementation of forest policies is difficult
without stakeholder support and communit y
In addition to allocations from national budgets, involvement. The Ghana case study demonstrated
government funding for forests may be derived the importance of policies that safeg uard the
from para-fiscal sources such as the sale of interests of communities, including small and
products from publicly owned forests, royalties, medium-sized forest enterprises, and the value of
licence fees, taxes on forest products, and export collaborative forest management in improving
levies. Costa Rica introduced its PES scheme in communit y access to forest benefits. The Viet
the mid-1990s, in which a proportion of a tax on Nam case study showed that a shift from state
fossil fuels is allocated to forest-related activities. forestr y to multistakeholder forestr y with the
Viet Nam also introduced a PES scheme in 2010 active participation of local people was a key
to support sustainable forest management, factor in achieving positive trends; forest
improve livelihoods and protect the environment. protection contracts with households are being
The case studies showed that such government used to involve local people in forest-related
expenditure is often targeted at wider activities and to develop communit y-based forest
government priorities, such as providing management. In the Gambia, the state has
employment in poorer parts of the countr y, or at recognized the value of participator y forest
environmental goals such as watershed management and is transferring parts of its forest
protection and conser vation. However, this may reser ves to local communities (with the aim of
lead to funding gaps for more routine forest- ultimately putting 75 percent of its forest land in
related activities that are also essential but which communit y hands) in the expectation that this
have lower profiles. REDD+ was identified in a will increase communit y appreciation of the
number of the case-study countries as a importance of sustainable forest production. In
potentially important future source of funds. Tunisia, local communities, non-governmental
organizations and the private sector are engaged
ODA can be inf luential in the development and in the co-management of forest resources under a
implementation of policies related to agriculture, system of devolving responsibilit y for forestr y
forests and land-use change. In Tunisia, for activities. The case studies of Ghana and

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STATE OF THE WORLDS FORESTS 2016

VietNam show that care is needed to define creating windbreaks and increasing forage
clearly the respective responsibilities of production for livestock. In Chile, plantation
government and local communities when development has mainly taken place on poorer
entering into communit y-based forest land that was previously used for extensive
management arrangements. In Viet Nam, the farming and had become degraded, while
staff of the forest administration may need intensive agricultural production is concentrated
support to develop their capacit y for facilitating on irrigated land. Integration between
participator y processes in ways that take into agriculture and forestr y is encouraged in Chile
account the rights and interests of all actors. through close collaboration between agricultural
and forest institutes providing research and
PROMOTING INTEGRATED LAND USE extension ser vices. Costa Rica has encouraged
agroforestr y as a way of providing shade for
An integrated landscape-scale approach to coffee cultivation and livestock (and thereby
agriculture, forests and other land uses can bring increasing productivit y); and the promotion of
valuable synergies. Several case studies outline cocoa certification has increased the extent of
measures taken to encourage the integration and cocoa agroforestr y in Ghana. Another example of
coordination of land uses in production effective integration, also in Ghana, is the
landscapes. Viet Nam has a system of land-use allocation of land in degraded parts of forest
master plans that must be followed when reser ves to farmers for reforestation and
allocating land uses. Tunisia also has a strategic agroforestr y, including intercropping in the first
approach: forw west land there is considered few years. Despite the benefits of integrated
unsuitable for agriculture, both for approaches, a lack of tenure securit y can be an
environmental reasons and because of its low obstacle to them: the tenure reform in Viet Nam
agricultural potential, and the forest area is demonstrates that secure long-term tenure
expanding in marginal areas of limited arrangements are essential for assuring farmers
agricultural value or where it can bring benefits that they (or their successors) will be able to
for farmers, for example by fixing sand dunes, har vest the trees they grow. n

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CHAPTER 5
TOWARDS BETTER
GOVERNANCE OF
LAND USE FOR
FORESTS AND
AGRICULTURE

YEMEN
Managing woodlands is an important
part of a local FAO project that
includes sand-dune stabilization,
watershed management and
institution strengthening.
FAO/Rosetta Messori
CHAPTER 5

TOWARDS BETTER
GOVERNANCE OF LAND
USE FOR FORESTS
AND AGRICULTURE
5.1KEY CONCLUSIONS
Southeast Asia. It is estimated that, in the tropics
and subtropics, large-scale commercial
agriculture accounts for 40 percent of
Global forest area has declined by 129 million deforestation; local subsistence agriculture
hectares (3.1 percent) in the period from 1990 to accounts for 33 percent; and urban expansion,
2015 and is now just under 4 billion hectares. infrastructure and mining account for 27 percent.
Although the rate of global net forest loss slowed
from an average of 7.3 million hectares per year Large-scale agricultural developments are often
in the 1990s to 3.3 million hectares per year in export-focused and contribute relatively little to
2010 2015 (FAO, 2015a), deforestation remains a local food supplies, although they can bring
matter of deep concern (UN, 2015b). Halting the wider economic benefits. Commercial agriculture
loss of forests will benefit hundreds of millions of accounts for almost 70 percent of deforestation in
people, including many of the worlds poorest Latin America; in the Amazon region, cattle
people, whose livelihoods depend on forest goods ranching, soybean farming and oil-palm
and environmental ser vices. It will also help plantations have been major drivers of
combat climate change, protect habitats for deforestation since 1990. Oil-palm plantations
75percent of the worlds terrestrial biodiversit y, are replacing substantial areas of natural forest in
and maintain ecosystem resilience thereby Southeast Asia. Social and environmental
supporting sustainable agriculture. safeg uards are needed to avoid negative
consequences; voluntar y measures by the private
Most of the loss of forest area in the last 25 years sector, such as certification schemes and
has been in the tropical climatic domain, where moratoria on the purchase of products grown in
populations are still growing, including in rural deforested areas, have been helpful in achieving
areas. In contrast, there have been gains in net positive outcomes (e.g. a reduction in
forest area in the temperate domain, where rural deforestation in the Amazon).
populations are generally decreasing. There are
clear associations between forest loss and Large-scale commercial agriculture accounts for
national income: in 2000 2010, high-income one-third of deforestation in Africa. Subsistence
countries registered an overall increase in forest agriculture is important for the livelihoods of
area, while the upper-middle, lower-middle and many poor households in Africa; opportunities to
low-income countr y categories all showed overall improve the efficiency of this form of agriculture,
decreases in forest area (and the largest decreases such as the strengthening of farmer
were in the low-income group). organizations, need to be combined with wider
rural development and social protection
The conversion of forest land to agricultural use programmes. Some case studies provided
remains the main driver of deforestation. In examples of support programmes aimed at, for
2000 2010 the loss of forest in the tropical example, the co-financing of agroforestr y and
domain (7million hectares per year) was similar agricultural investment projects; the
to the increase in agricultural area (6 million strengthening of producer organizations; skills
hectares per year). Most of this forest loss, and development; and access to microcredit, financial
increase in agricultural area, occurred in South incentives, soft loans and price g uarantees. Such
America, sub-Saharan Africa and South and measures often form part of wider socioeconomic

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STATE OF THE WORLDS FORESTS 2016

development and povert y alleviation programmes Problems arise where the legal framework
targeted at v ulnerable groups and areas with governing land-use change is fragmented and
special difficulties. inconsistent. This can occur where national
policies on land use are weak or non-existent, or
Underlying factors affecting forest conversion if there is inadequate coordination when drafting
include population growth, agricultural legal instruments. Such fragmentation and
development, land tenure, and the governance of inconsistency can make it more difficult to
land-use change. As illustrated by the case enforce laws effectively and increase the
studies, the significance of particular drivers likelihood of forest loss, including through the
depends on the circumstances of each countr y. illegal conversion of forests to agriculture or
Global population has grown by 37 percent since other land uses. Law enforcement is likely to be
1990, and food consumption has increased by more effective when legal requirements are
40percent. Food consumption will continue to understood and supported by all stakeholders.
increase as the population grows and also as Other prerequisites for sustainable land
food consumption patterns change; demand for management are land-tenure securit y, the formal
land to produce other products such as biofuels recognition of customar y rights to the use of land
is also likely to increase. Food securit y is and forest goods, and the strengthening of the
increasingly tied to international trading rights of v ulnerable groups, such as poor, forest-
relationships, as is the v ulnerabilit y of forests, as dependent women.
agriculture in lower-income countries often
develops in response to the demands of higher- Selecting the right tools to support policy
income countries. implementation is vital. For example, if large-
scale commercial agriculture is a principal driver
Although food securit y, sustainable agriculture of land-use change, important policy tools
and sustainable forest management are all global include effective processes for reg ulating land-
priorities, the analysis of policy documents use change, such as the use of social and
presented here suggests that decisions on land environmental impact assessments, to ensure
use and natural-resource priorities are not that such change does not lead to undesirable
always addressed in an integrated way at the deforestation. On the other hand, where local
national level. There is a need to improve subsistence agriculture is a principal driver,
coordination between policies on forests, policy tools may include wider measures to
agriculture, food, land use, rural development address povert y, together with actions to improve
and national development. For example, local agricultural and other land-use practices. In
agriculture policies should be more explicit some of the case-study countries, analysis of the
about the potential implications of food causes of deforestation helped inform the design
production strategies for forests and sustainable of appropriate policy instruments.
land management. Several case studies
highlighted the importance of recognizing the Forest loss is often associated with low levels of
value of forests, as well as the importance of investment in agriculture and forests. Encouraging
agriculture and food securit y, in wider national agricultural investment may involve research and
economic development, rural development and extension, as well as measures to improve
povert y reduction strategies. distribution and marketing, address inefficiencies

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CHAPTER 5 TOWARDS BETTER GOVERNANCE OF LAND USE FOR FORESTS AND AGRICULTURE

in value chains, and increase access to appropriate cooperation between agricultural and forest
forms of finance. Innovative investment in forests research institutes, and the promotion of
can help achieve wider social and environmental agroforestr y systems.
public policy goals; examples include major
afforestation and landscape-scale forest Partnerships with civil societ y and the private
rehabilitation programmes and the integration of sector are a key part of institutional
forestry into poverty reduction and rural arrangements. Stakeholder commitment is
development strategies. Some countries have essential for effective policy implementation.
created successful enabling environments for There is potential to further develop private
private-sector investment in forestry and governance initiatives, such as voluntar y
pioneered innovative funding mechanisms, such certification schemes, moratoria and
as PES. In a number of the case-study countries, commitments to zero-deforestation supply
public-sector support has shifted away from chains, by strengthening partnerships between
production support towards research and the private sector, civil societ y organizations,
development, rural finance, export promotion and national and local government bodies, and
the strengthening of producer organizations. international organizations.
Direct public-sector investment is often targeted at
environmental priorities such as soil restoration Devolving forest management rights to local
and tree planting; social priorities, including communities and smallholders can improve
social protection programmes; and catalysing access to, and recognition of, forest benefits
private-sector investment. through collaborative forest management. In the
case-study countries this has also led to greater
There is an opportunit y to mainstream integrated recognition among local communities of the
land-use planning as a tool for achieving value of forests. Effective collaborative forest
sustainable land management and improving management requires clear definition of the
ecosystem resilience, enhancing synergies and respective roles and responsibilities of public
complementarities among land uses at various bodies and communit y organizations and
scales, and addressing potential conf licts. ensuring that they have the capacit y to deliver.
Integrated land-use planning can create a
strategic framework within which to balance A multipronged approach is needed to achieve
competing land uses and to bring together multiple land-use and natural-resource goals
relevant government bodies and stakeholders to involving coordinated policy development and
assess technical information on, for example, land-use planning; the effective legal protection
land capabilit y, natural resource availabilit y and of forests; greater tenure securit y; strong
expected future needs. Another tool for stakeholder engagement; improved monitoring of
improving consistency in land-use management deforestation; strong cooperation with the private
is the unification of maps and databases that sector and civil societ y on voluntar y initiatives;
combine authoritative land-based information and the use of well-designed and targeted
from different agencies. Measures taken in case- financial instruments. The case studies provide
study countries to achieve integrated approaches illustrations of how this can be achieved but also
to land use at different scales include the demonstrate the importance of adopting different
development of overarching strategic land-use approaches in different contexts and the need to
frameworks to inform decisions, improved adapt to changing circumstances. n

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STATE OF THE WORLDS FORESTS 2016

5.2POLICY
the legal framework; stronger institutions and
stakeholder engagement; and integrated land

IMPLICATIONS
use. Significant information gaps that need to be
filled to improve the governance and
management of land-use change are
In order to meet global priorities, including those alsoidentified.
set out in Transforming our world: the 2030 Agenda
for Sustainable Development and the Paris BETTER CROSS-SECTORAL COORDINATION
Agreement on climate change, there is an urgent OF POLICIES ON AGRICULTURE, FOOD AND
need to accelerate progress towards achieving
FORESTS
sustainable agriculture, food securit y and
sustainable forest management. Such progress High-level national economic, social and
will be important in achieving SDG 2, SDG 15 environmental policies should recognize the
and Article 5 of the Paris Agreement, as well as importance of sustainable agriculture, food
the five Strategic Objectives of the FAO Strategic securit y and sustainable forest management,
Framework (FAO, 2013d). including their contributions to relevant SDGs
and associated targets and to actions in the
The 2030 Agenda for Sustainable Development Paris Agreement on climate change. Such
reaffirms that every State has, and shall freely recognition would constitute a first step in
exercise, full permanent sovereignty over all its improving policy coordination, and would also
wealth, natural resources and economic activity, help in identif ying policy tensions so that
and it states that each government will decide how further analysis of potential conf licts can
global targets should be incorporated into national inform political decisions on priorities. Where
planning processes, policies and strategies. The there is concern about the implications of
2030 Agenda for Sustainable Development notes population growth (for example) for agriculture,
that all SDGs and targets are integrated and food and forests, analyses could examine the
indivisible: this has crucial implications for policy extent to which agricultural intensification and
development because of the linkages between improved agroforestr y can meet food-securit y
SDG 2 and SDG15 and also because of the need needs as a basis for developing explicit targets
to make progress towards several other SDGs in on land-use conversion.
order to achieve sustainable agriculture, food
security and sustainable forest management. For PUBLIC INVESTMENT IN AGRICULTURE
example, achieving gender equality (SDG5), AND FORESTS
sustainable economic growth (SDG8) and
peaceful and inclusive societies with effective, There is a need for concurrent public investment
accountable and inclusive institutions (SDG16) is in sustainable agriculture and sustainable forest
essential for creating the macro-framework management as part of, or complementar y to,
necessary for achieving SDGs 2 and 15. The policy wider rural development programmes. Such
implications described in this section should be investment should focus on measures that:
read in this context. catalyse private investment; improve processing,
distribution and marketing infrastructure;
Based on the material analysed for this report, promote innovation and best practices through
the recommendations presented here aim at research, development and extension; and
improving the governance and management of develop the capacit y of producer and communit y
land-use change through: better cross-sectoral organizations. Direct public investment in, for
coordination of policies on agriculture, food and example, afforestation programmes should aim to
forests; greater public investment in agriculture achieve wider social and environmental benefits,
and forests; policy instruments to promote such as climate-change mitigation, combating
sustainable agriculture and sustainable forest land degradation, enhancing the resilience of
management; improvements in tenure rights and agriculture, and improving livelihoods. Funding

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CHAPTER 5 TOWARDS BETTER GOVERNANCE OF LAND USE FOR FORESTS AND AGRICULTURE

is likely to come from a range of sources, such as The legal framework should provide certaint y
levies, income from state-owned forests, PES on land tenure and the rights to the use of land
mechanisms, REDD+, voluntar y partnerships and forest resources. The Voluntar y Guidelines
with the private sector and civil societ y, on the Responsible Governance of Tenure of
government budgets, and ODA. Land, Fisheries and Forests in the Context of
Food Securit y (FAO, 2012d) set out principles
Social and environmental safeg uards through, and internationally accepted standards for
for example, cross-compliance measures practices for the responsible governance of
should be put in place to mitigate potential tenure and provide a framework for countries in
adverse consequences of investments in developing strategies, policies, legislation,
agriculture and forests. programmes and activities.

USING THE RIGHT POLICY INSTRUMENTS STRENGTHENING INSTITUTIONS AND


TO PROMOTE SUSTAINABLE AGRICULTURE STAKEHOLDER ENGAGEMENT
AND SUSTAINABLE FOREST MANAGEMENT
Good governance requires effective institutions
In any given countr y, the choice of policy as well as a sound policy and legal framework.
instruments to support sustainable land use The institutional framework should encompass
should ref lect the circumstances and be local communities, civil-societ y organizations
targeted accordingly. This requires careful and responsible private-sector interests, as well
analysis of the underlying causes and as government departments and agencies. It may
consequences of the identified problems. For require building the capacit y of organizations
example, if large-scale commercial commodit y that support indigenous peoples, local
production is a significant driver of communities and smallholders as well as the
deforestation, appropriate instruments may strengthening of public-sector organizations
include measures to reg ulate land-use change, (including their capacit y to facilitate
including the need for environmental impact participator y approaches).
assessment; measures to prevent conf lict with
existing land-tenure rights; and cross- The right of stakeholders (including women) to
compliance measures related to financial be consulted during the development and
support. Where the expansion of small-scale implementation of land-use policies, programmes
subsistence farming is causing deforestation, and plans should be formalized so that such
the deployment of policy instruments, for policies, programmes and plans fully take into
example to improve farming practices and account the needs of, and are supported by, forest
promote agroforestr y, should be considered in users and other stakeholders. Gender
the wider context of rural development, considerations should be mainstreamed in
livelihood diversification and povert y national forest policies, programmes and
alleviation programmes. institutions, which should actively promote the
equal access of women to the ownership of land
IMPROVING TENURE RIGHTS AND THE and other resources.
LEGAL FRAMEWORK
Partnerships between the public sector, the
Laws and reg ulations on land-use change private sector and civil societ y should be
should be clear and consistent with policy encouraged as a way of promoting sustainable
objectives. This may require considerable effort, land management through, for example,
especially where there are inconsistencies voluntar y measures such as certification,
between, for example, legal provisions dealing voluntar y g uidelines for sustainable
with land rights, environmental protection, management, and corporate social
wildlife conser vation and forests. responsibilit y programmes.

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STATE OF THE WORLDS FORESTS 2016

Consideration should be given to opportunities agriculture and the adaptation of livestock


for devolving public-forest management rights to grazing regimes should be promoted, for example
local communities and smallholders where this is through collaborative research, development and
likely to improve forest management and give extension among agricultural and forest research
local people greater access to forest benefits. The institutes and through forest and farm producer
rights and responsibilities of all parties should be organizations.
set out clearly.
PROVIDING MORE COMPREHENSIVE
PROMOTING INTEGRATED LAND-USE INFORMATION TO MEET EVIDENCE NEEDS
APPROACHES AND LANDSCAPE
The collection, analysis and interpretation of data
MANAGEMENT
and information are essential for informed
Integrated land-use planning provides an evidence-based decisions. There is a need for
opportunit y to develop a strategic framework for more systematic and comprehensive evidence at
balancing competing land uses among the global level on the effectiveness of
stakeholders. At a national, subnational or governance, law enforcement and compliance
landscape scale, this may also include climate- mechanisms related to land-use change from
change adaptation measures aimed at increasing forests to agriculture; and on the economic, social
ecosystem resilience. Integrated land-use and environmental values of forests. There is
planning requires technical data on land and potential to build on the analysis in this report
natural resources as well as collaboration among with more detailed work at the international level
relevant public bodies and the active engagement on law enforcement and compliance mechanisms,
of stakeholders. and to add to the analysis presented in State of the
Worlds Forests 2014 (FAO, 2014a) with more
Integrated management approaches such as information on the economic, social and
agroforestr y, agroecolog y, climate-smart environmental values of forests. n

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ANNEX
DEFINITIONS AND
METHODOLOGY

SENEGAL
An acacia tree.
FAO/Pietro Cenini
ANNEX

DEFINITIONS AND
METHODOLOGY
DEFINITIONS stabilization programmes; extension, veterinar y,
pest control, crop inspection and crop grading
Afforestation is the establishment of forest ser vices; production and dissemination of general
through planting and/or deliberate seeding on and technical information on agriculture; and
land that, until then, was not classified as forest compensation, grants, loans or subsidies to
(FAO, 2012a). farmers (FAO, 2012c; FAO, 2015b).

Agricultural land includes arable land, land Gross domestic product is the sum of gross
under permanent crops (such as cocoa and value added by all resident producers in the
coffee), and permanent meadows and pastures economy plus any product taxes and minus any
(FAO, 2016b). subsidies not included in the value of the
products. It is calculated without making
Agriculture Orientation Index is the ratio of the deductions for the depreciation of fabricated
agriculture share of government expenditures to assets or for the depletion and degradation of
the agriculture contribution to the economy natural resources.
(FAO, 2015b).
Gross national income is the sum of value added
Cropland includes arable land and land under by all resident producers plus any product taxes
permanent crops (FAO, 2016b). (less subsidies) not included in the valuation of
output plus net receipts of primar y income
Deforestation is the conversion of forest to other (compensation of employees and propert y
land uses or the permanent reduction of the tree income) from abroad.
canopy cover below the minimum 10 percent
threshold (FAO, 2012a). Human Development Index is a composite index
measuring average achievement in three basic
Forest is land spanning more than 0.5 hectares dimensions of human development: 1) a long and
with trees higher than 5 metres and a canopy healthy life; 2) knowledge; and 3) a decent
cover of more than 10 percent, or trees being able standard of living (further details are available in
to reach these thresholds in situ. It does not Technical Note 1 at http://hdr.undp.org/en).
include land that is predominantly under
agricultural or urban land use (FAO, 2012a). Investment is generally defined to include
activities that result in the accumulation of
Forest degradation is the reduction of the capital that yields a stream of returns over time.
capacit y of a forest to provide goods and ser vices Determining whether expenditure constitutes an
(FAO, 2012a). investment can be difficult both conceptually and
empirically, and in some cases it is not clear-cut.
Government expenditure on agriculture Investment in agriculture can be categorized as
includes projects and programmes related to the public or private, and foreign or domestic (FAO,
administration, super vision and reg ulation of 2012c).
agriculture; agrarian reform, agricultural land
settlement, development and expansion; f lood The land-tenure system is the relationship,
control and irrigation; farm price and income whether legally or customarily defined, among

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STATE OF THE WORLDS FORESTS 2016

people, as individuals or groups, with respect to Poverty headcount ratio at US$1.90 a day is the
land and associated natural resources (including percentage of the population living on less than
water, trees, minerals and wildlife). Rules of US$1.90 a day at 2011 international prices (a
tenure define how propert y rights in land are more detailed explanation is available at
allocated within societies and may determine w w w.worldbank.org/en/publication/global-
who can use what resources, for how long, and monitoring-report).
under what conditions (FAO, 2002).
Poverty gap at US$1.90 a day (2011 PPP) is the
Land use is characterized by the arrangements, mean shortfall in income or consumption from
activities and inputs people undertake in a the povert y line of US$1.90 a day (counting the
certain land-cover t ype to produce, change or non-poor as having zero shortfall), expressed as a
maintain it (see w w w.fao.org/nr/land/use/en/). percentage of the povert y line. This measure
ref lects the depth of povert y as well as its
Natural expansion of forest is the expansion of incidence (a more detailed explanation is
forest through natural succession on land that, available at w w w.worldbank.org/en/publication/
until then, was under another land use global-monitoring-report).
(e.g. forest succession on land previously used
for agriculture) (FAO, 2012a). Prevalence of undernourishment measures the
probabilit y that a randomly selected individual
Number of people undernourished is the from the reference population is found to
estimated number of people at risk of consume less than their calorie requirement for
undernourishment. an active and healthy life; this is the traditional
FAO hunger indicator.
Other land is land that is not classified as forest
or other wooded land. It includes agricultural Public-sector expenditure on agriculture
land, meadows and pastures, built-up areas, includes spending by various units of the public
barren land, and land under permanent ice, as sector, such as government agencies, public-
well as areas classified as other land with tree sector institutions and development partners
cover (FAO, 2012a). (FAO, 2012c).

Other land with tree cover is land, not classified Public-sector expenditure on forestry is
as forest or other wooded land, that is expenditure on forest activities of all government
predominantly under agricultural or urban land institutions (including at subnational levels), but
use and has patches of tree cover that span more excluding publicly owned business entities
than 0.5 hectares with a canopy cover of more (nationalized industries or state enterprises). It
than 10 percent of trees able to reach a height of 5 includes the total budget allocated to forestr y and
metres at maturit y (FAO, 2012a). spent by all concerned institutions, including
expenditures for administrative functions,
Planted forest is forest predominantly composed reforestation funds, direct support to the sector
of trees established through planting and/or (e.g. grants and subsidies) and support to other
deliberate seeding (FAO, 2012a). forest-related institutions (e.g. training and
research centres) (FAO, 2015a).

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ANNEX DEFINITIONS AND METHODOLOGY

Reforestation is defined as the re-establishment Figure 2.5 uses income categories as defined by
of forest through planting and/or deliberate the World Bank 25 and does not take into account
seeding on land classified as forest (FAO, 2012a). changes in income categories over the period
20002010. The map in Figure 2.8 and the further
Subsidy is defined by the World Trade detail in Table 2.1 are based on an analysis carried
Organization as any financial contribution by a out for 145 countries. Desk studies performed for
government, or agent of a government, that the Global Forest Resources Assessment 2015 with
confers a benefit on its recipients. FAO uses a forest area data of reduced reliability were
broader definition and classifies subsidies into excluded (in addition to countries with significant
four main categories: 1) direct financial inconsistencies in reported data), and Serbia and
transfers; 2) ser vices and indirect financial Montenegro, and Sudan and South Sudan, were
transfers; 3) reg ulations; and 4) lack of also excluded because disaggregated data on
inter vention. Other alternatives or euphemisms agriculture were unavailable. Changes of less than
for subsidies include incentives, fiscal support, 1 percent were not considered for the analyses.
aid, assistance, and government financial
transfers. The fig ures for agricultural subsidies The analysis of land use by climatic domain
reported in this study are drawn from classified countries in more than one climatic
McFarland, Whitley and Kissinger (2015), who domain according to the most dominant climatic
use a modified FAO definition of subsidies. domain at the countr y level. For example, the
United States of America has boreal, temperate
and subtropical forests, but because the largest

METHODOLOGY
forest categor y is temperate, that countr y is
reported here as in the temperate climatic
domain. Fig ure A.1 shows the classification used.
Chapter 2
The analysis of land-use change dynamics Chapter 3
presented in Chapter 2 is based on forest resources
data reported by countries and published in the Analysis of policy documents
Global Forest Resources Assessment 2015 (FAO, A qualitative and quantitative analysis of official
2015a), and on data on agriculture, income national forest, agriculture, land, food and
categories and population published by FAO development policy documents was undertaken
(2016a) 23 and the World Bank. 24 Although the data using a key word search. Groups of key words
come from multiple sources and have varying considered relevant to land-use change involving
levels of reliability, they provide insight into the forests and agriculture were used. These
scale of land-use change occurring globally. included: land conversion, land planning,
abandoned forest and agricultural land, increase
The analyses reported in Figures 2.12.8, and the of agriculture on forest land and vice versa,
associated text, cover those countries and conf licts in land-use changes, agroforestr y
territories for which data were available on both systems, forest products, population growth,
agricultural area (FAO, 2016a) and forest area climate change, food securit y, cooperation and
(FAO, 2015a). Countries with significant coordination between sectors, harmonization
inconsistencies in the reported data were excluded between different sectoral policies, afforestation,
from the analyses. Figure 2.1 reports on 214 and deforestation. In countries in which more
countries. Figures 2.2, 2.5, 2.6 and 2.7 report on than three national sector policy documents were
213 countries and Figure 2.3 reports on 234 available, a deeper analysis was undertaken to
countries. Figure 2.4 reports on 151 countries. examine supporting priorities and inconsistencies
among national priorities.
23 See http://faostat3.fao.org/home.
24 See http://databank.worldbank.org/data/home.aspx. 25 See http://data.worldbank.org/news/new-country-classifications.

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STATE OF THE WORLDS FORESTS 2016

The documents were obtained primarily from Analysis of investments in agriculture and forestry
FAOs Legal Ser vice, Food and Agriculture Policy This analysis focused on investment in
Decisions Analysis (FAPDA) and forest policy agriculture and forestr y and its effect on land use
databases. Some documents were also received across all countries. Due to a lack of
from FAO regional, subregional and countr y comprehensive data suitable for making
offices. The full qualitative analysis was based on systematic comparisons, best use was made of
policy documents in English, French, Spanish existing databases and information. This
and Russian available in PDF or Word format. presented a number of challenges because the
Where necessar y, supplementar y information was available data sources used different definitions,
obtained from regional and subregional FAO different levels of aggregation and different
offices, USAID countr y reports on land use, reporting terminologies. In general, data on
FAPDA analyses, countr y reports for the Global forests are less reliable than those on agriculture,
Forest Resources Assessment 2015, REDD+ reports, especially where there is a high proportion of
other literature and a web search. Table A.1 informal or illegal economic activit y. Accordingly,
shows the number of documents analysed for the this analysis used proxies to make comparisons
report (and the total number of documents in the between the two sectors and to indicate general
total number of documents obtained (Table A.1). trends and impacts on land use.

Relevant documents were selected from the


databases when the results of the key word search Chapter 4
related specifically to land-use change from
forest to agriculture or from agriculture to forest. Criteria for identifying
Each selected document was read, and relevant potential case-study countries
text was selected and compiled as two-sentence Potential case-study countries were identified
summar y statements into a results table. Where using data from official UN sources, namely the
possible, statements were direct quotations with Global Forest Resources Assessment 2015 (FAO,
citations. A note was made of strongly conf licting 2015a), FAOSTAT3 (FAO, 2016a), and the World
or incomplete data. Bank DataBank ( World Bank, 2016).

Table A.2 shows the countries used for the The criteria for demonstrating an improvement in
analyses presented in Fig ures 3.13.5. food securit y were based on two indicators,
namely the prevalence of undernourishment
Analysis of legal frameworks PoU and the number of undernourished people
A generic analysis of relevant national legal and NoU (FAO, 2013b). PoU is the traditional FAO
reg ulator y frameworks was conducted to assess hunger indicator, and NoU is the official 1996
the clarit y and exhaustiveness of the rules World Food Summit indicator. Millennium
governing forest conversion and land-use change. Development Goal 1C was to halve the
The analysis used a sample of countries in proportion of people who suffer from hunger, or
various regions of the world. A sampling reduce it below 5 percent, over the period 1990
approach was necessar y because of the ver y 2015, and the World Food Summit target was to
specific nature of legal texts (a key word search is halve the number of undernourished people over
insufficient because the whole text needs to be the period 1990 1992 to 2015. The criteria used
studied) and because the necessar y information here to identif y countries with improved food
is contained in a large number of reg ulations and securit y were the achievement of both
bylaws as well as in primar y legislation. Millennium Development Goal 1C and the World
Food Summit target, or the achievement of
A more in-depth study of the legal framework Millennium Development Goal 1C by reducing
was conducted in a small number of countries in the PoU below 5 percent.
the Congo Basin and Latin America.

| 99 |
FIGURE A.1

COUNTRIES CLASSIFIED ACCORDING TO DOMINANT CLIMATIC DOMAIN

BOREAL

POLAR

SUBTROPICAL

TEMPERATE

TROPICAL

The criteria for demonstrating an increase in, or The analysis identified the following 22 countries that
maintenance of, forest area in a countr y were either an had maintained or increased forest area, and improved
increase in forest area, or a forest loss of no greater food securit y over the period 1990 2015: Chile, Costa
than 5.5 percent over the period 1990 2015. Rica, the Dominican Republic, Fiji, Gabon, Georgia,
Ghana, Guyana, the Islamic Republic of Iran, Lebanon,
To facilitate case-study selection, the analysis was the Republic of Korea, Malaysia, Mexico, Morocco,
restricted to countries with a land area of between Peru, South Africa, Thailand, Tunisia, Turkey, Urug uay,
650000 hectares and 900 million hectares and a Uzbekistan and Viet Nam. These countries were
percentage of forest area (in 2015) of 6 80 percent. clustered according to region and the World Bank

| 100 |
SOURCE: FAO, 2015a.

income-level countr y classification. 26 As there were no The countries selected for case studies were Chile,
low-income countries in this list, low-income countries Costa Rica, the Gambia, Georgia, Ghana, Tunisia and
that met the forest area criteria and Millennium Goal Viet Nam. The case-study summaries are based on the
1C but not the World Food Summit criteria were case-study reports and other data from FAO and World
considered for case studies; they were Bangladesh and Bank sources (FAO, 2013a; FAO, 2015a; FAO, 2016a;
the Gambia. 27 World Bank, 2016). n

26 World Bank, http://data.worldbank.org/news/new-country-


classifications-2015.
27 Since this analysis was undertaken, Bangladesh has been reassigned to the
lower-middle-income group.

| 101 |
TABLE A.1

NUMBER OF POLICY DOCUMENTS ANALYSED AND CONTENTS OF POLICY DATABASES


POLICY TYPE
REGION COUNTRY NATIONAL COUNTRY
FOREST FOOD AGRICULTURE LAND
DEVELOPMENT REPORT
South America Argentina 2 1 1 1
South America Bolivia (Plurinational State of) 1 1 2
Africa Burkina Faso 1 1 1
Africa Burundi 1 1
Asia Cambodia 1 1 3
Africa Cameroon 1
North America Canada 1 1
South America Chile 1
South America Colombia 1 1 1 1
Central America Costa Rica 1 2 1 2 1
Europe Croatia 1 1
Africa Egypt 1 1 2
Africa Ethiopia 1 1
Africa The Gambia 1
Europe Georgia 1 1 1 1
Europe Germany 1 1
Africa Ghana 2 1 1 1
Caribbean Grenada 1
Africa Kenya 1 1 1 1
Asia Kyrgyzstan 1
Africa Malawi 1
Africa Mali 1
Europe Moldova 1
Asia Myanmar 1
Africa Niger 1 1 1
Africa Nigeria 1
South America Peru 1 1 1
Europe Romania 1 1 1
Africa Rwanda 1 1 2 1
Africa Senegal 1 2 1
Africa United Republic of Tanzania 1
Africa Tunisia 1
Africa Uganda 1 1 1 1
Asia Viet Nam 1
Africa Zambia 1 1
Total number of documents analysed 25 11 21 19 8 8
TOTAL NUMBER OF DOCUMENTS IN DATABASE 107 19 26 34 10 N/A
Note: Documents are official national-level policy documents written in English, French, Spanish or Russian available in either Word or PDF format. In
addition to analyses of policy documents from these 35 countries, policy priorities were examined in policy documents from the following 5 countries:
Brazil, El Salvador, Guatemala, the Lao Peoples Democratic Republic and Paraguay.

| 102 |
TABLE A.2

COUNTRIES USED FOR THE ANALYSES PRESENTED IN FIGURES 3.13.5


FIGURE 3.1 FIGURE 3.2 FIGURE 3.3 FIGURE 3.4 FIGURE 3.5

Burkina Faso Cambodia Argentina Burundi Egypt


Bolivia
Burundi Peru Egypt Georgia
(Plurinational State of)
Cambodia Niger Brazil Georgia Ghana

Cameroon Senegal Cambodia Ghana Kenya

Canada Uganda Costa Rica Kenya Romania


United Republic
Croatia Egypt Romania Rwanda
of Tanzania
Egypt Zambia El Salvador Senegal Senegal

Ethiopia Georgia Rwanda Uganda

Georgia Ghana Uganda Zambia

Germany Guatemala Zambia

Ghana Kenya

Grenada Niger

Kenya Nigeria

Kyrgyzstan Paraguay
Lao Peoples
Romania
Democratic Republic
Malawi Rwanda

Mali Senegal

Moldova Uganda

Myanmar

Niger

Nigeria

Romania

Rwanda

Senegal
United Republic

of Tanzania
Uganda

Zambia

27 COUNTRIES 7 COUNTRIES 18 COUNTRIES 10 COUNTRIES 9 COUNTRIES

| 103 |
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2016
STATE OF
THE WORLDS
FORESTS
FORESTS AND AGRICULTURE: LAND-USE
CHALLENGES AND OPPORTUNITIES

Forests and trees support sustainable agriculture. They stabilize soils and climate, regulate
water flows, give shade and shelter, and provide a habitat for pollinators and the natural
predators of agricultural pests. They also contribute to the food security of hundreds of
millions of people, for whom they are important sources of food, energy and income.
Yet, agriculture remains the major driver of deforestation globally, and agricultural, forestry
and land policies are often at odds.

State of the Worlds Forests (SOFO) 2016 shows that it is possible to increase agricultural
productivity and food security while halting or even reversing deforestation, highlighting the
successful efforts of Costa Rica, Chile, the Gambia, Georgia, Ghana, Tunisia and Viet Nam.
Integrated land-use planning is the key to balancing land uses, underpinned by the right
policy instruments to promote both sustainable forests and agriculture.

ISBN 978-92-5-109208-8 ISSN 1020-5705

9 7 8 9 2 5 1 0 9 2 0 8 8
I5588E/1/07.16