How To Implement Forest Management Plan

Transcription

1 May 2012 Ex post Evaluation Agence Française de Développement (AFD) The forest sector in the Congo Basin countries: 20 years of AFD intervention Jean-Marie SAMYN, Inter-cooperation (IC), Switzerland James GASANA, IC Emmanuel POUSSE, Institutions et Développement (I&D), France Fabien POUSSE, I&D

2 Disclaimer The analyses and conclusions in this document are formulated under the sole responsibility of the authors. They do not necessarily reflect the viewpoint of AFD or its partner institutions. Publications Director: Dov ZERAH Editorial Director: Jean-David NAUDET Legal deposit: 1 st quarter 2012 ISSN: Design: Solange MÜNZER Photos: Jean-Marie SAMYN Execution: Ferrari/Corporate Tel.: 0033(0) J. Rouy/Coquelicot

3 Ex post Evaluation The Forest Sector in the Congo Basin countries: 20 years of AFD intervention Jean-Marie SAMYN, Inter-cooperation (IC), Switzerland James GASANA, IC Emmanuel POUSSE, Institutions et Développement (I&D), France Fabien POUSSE, I&D Contacts: Constance CORBIER-BARTHAUX, Evaluation and Capitalization Unit (EVA), AFD Sylvie OKTAR, EVA, AFD Agence Française de Développement (AFD)

4 Preamble This document is the final evaluation report presented by Intercooperation (IC) and Institutions et Développement (I&D), as commissioned by AFD, on the evaluation and capitalization of the AFD Group s interventions in the forest sector of four countries of the Congo Basin: Gabon, Cameroon, Central African Republic and Republic of Congo. For capitalization purposes, the evaluation covered all AFD support projects in the area of forest management planning in the four aforementioned countries between 1990 and The terms of reference (TOR) basically set out a three-tiered target: to evaluate the relevance and coherence of the overall intervention by the AFD Group; to gauge the performance of AFD support projects for designing management plans (MP) in concessions; to draw lessons from project cross assessment on the benefits of the forest management plan (FMP) and its replication. This final report is in line with the presentation of the provisional report to the Steering Committee on 3 March 2011 and ensuing comments. The mission extends its gratitude to all those who contributed to this report for their availability and the quality of their input in its preparation, particularly, members of the Steering Committee, persons interviewed on the field and resource persons who shared their views with us throughout the process. On the field, the mission is thankful to all stakeholders, including staff of various AFD agencies and other donor entities, forest administration, private companies and non-governmental organizations (NGO). Intercoopération, Maulbeerstrasse 10, CH-3001 Bern, Switzerland. Phone: / Fax: jean-marie.samyn@helvetas.org Institutions et Developpement I&D 27, rue Jean-Noël PELNARD, Fontenay aux Roses, France. Phone: / Fax: ietd@ ietd.net

5 Table of Contents Executive summary 7 SECTION 1 Historical background, French policy and AFD strategy in the Congo Basin 1. Sustainable management, background and state of management in the Congo Basin Sustainable forest management: definition Milestones in the development of sustainable forest management in Africa The concept of the forest management plan Background and overview of management in the four countries concerned French strategic policies in the Congo Basin, strategy and history of AFD s intervention, post-evaluation framework French assistance strategy in the Congo basin forest sector AFD s strategy in the forest sector Post-evaluation framework AFD s portfolio and field implementation of its vision Country portfolio 48 Conclusion 49 SECTION 2 Responding to evaluation questions 3. General coherence of interventions Coherence and internal synergies with French development assistance Coherence with national policies Coherence with other donors Coherence with the regional process 62 3

6 4. Stakeholder interactions and relevance: justified choices in the circumstances with hindsight A key socio-economic sector Intervention in the context of weak states and poor governance Private sector: different stakeholder groups International and national NGOs 74 Conclusion Average performance, cross-tool assessment Individual project performance Performance based on financial tools used 86 Conclusion Relevant impact, though limited in some components Obvious impact on sustainable forest management Economic aspects and impact on industrial development Social component: the weak link Environmental impact Institutional impact Capital and transfer of knowledge Sustainability A well-anchored tool for large concession holders amid certification doubts What is the actual level of ownership by small and medium-scale permit holders? Resistance to external shocks 119 Conclusion Overall appraisal of the role of AFD 125 Conclusion 128 4

7 SECTION 3 Lessons and way forward 9. Replicability in the Amazon Commitment of France and AFD in Brazil The concept of forest management in the Brazilian Amazon Lessons Realigning forest management actions in a comprehensive strategic framework Technical aspects: how to tailor and pursue the FMP process AFD s financial instruments: limitations of loan instruments and benefits of a gamut of instruments Way forward and recommendations What role for AFD? Strategy elements to be taken into account Expanding the intervention scope and consolidating achievements Consolidating achievements and concurrently improving the FMP tool for new operators Mainstreaming other forest types and deforestation issues Revitalizing research Financial instruments: maintaining the existing kit to ensure responsiveness and incentive Some levers of governance 173 Acronyms and abbreviations 177 Appendices 183 5

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9 Executive Summary Sustainable forest management, a virtually inexistent approach in the early 1990s The concept of sustainable forest management emerged at the Earth Summit held in Rio in It entails the conservation and enhancement, for the welfare of present and future generations, of the economic, social and ecological benefits of forests. In Congo Basin countries, This is being implemented by AFD through the development of a tool, the Forest Management Plan (FMP) for concessions. The design and implementation of the above plan incorporates, for an exploited forest, regeneration of the timber product, biodiversity conservation and socio-economic development issues. It is a contractual agreement between the concession holder and the State, for sustainable and long-term logging. In the early nineties, forest management in the Congo Basin was still under experimentation, as exploitation was more akin to mining, without any regard to resource regeneration. Today, out of 31 million hectares of awarded concessions, 20 million hectares are under management, including 4.4 million hectares certified as sustainably managed by the Forest Stewardship Council (FSC). A bold step has therefore been taken in 20 years, although the expression areas under sustainable management refers to quite different cases. A pragmatic and responsive AFP strategy, focused on sustainable management AFD s focus is in line with France s commitments in major international conventions (Convention on Biological Diversity [CBD], Rio Declaration, Agenda 21) to promote the sustainable management of forests. While the strategy is not set out in a specific document, AFD s strategy has consistently maintained the same overarching objective: the sustainable management of timber products through forest management (FM) under long-term forest concessions. AFD successfully tailored its intervention to prevailing context and specific stakeholders. In that regard, AFD s strategy may be characterized as pragmatic. AFD s action was four-tiered: (i) a first package of financial assistance to forest industries through its affiliate, PROPARCO (Promotion and Participation for Economic Cooperation); (ii) five major financial assistance interventions (loans and credit lines) to large concession 7

10 holders who have embarked on FMP; (iii) three major technical support projects to small and medium-scale permit holders; (iv) recently, new projects covering diverse areas (conservation, carbon fund, Reducing Emissions from Deforestation and Degradation [REDD+], etc.). A coherent and relevant intervention The evaluation highlighted the overall coherence of AFD interventions. First and foremost, coherence with French strategic policies, with the gradual incorporation of their development and coverage of new areas: biodiversity, institutional and regional dimensions. Thereafter, coherence with other donors resulting in some complementarity, as each partner prioritized a specific area of intervention (AFD focused on providing field support to FMPs). Lastly, coherence with the national policies of the countries concerned, although such coherence is partially explained by the fact that France was instrumental in their design through AFD s pilot projects or MFEA technical assistance. Based on the prevailing context of the nineties and subsequently, 2000s, it is safe to say that AFD s choice turned out to be relevant. Indeed, the design of the FMP tool, combining forest exploitation and sustainable management concerns, helped in breaking away from the practice of mining-oriented exploitation. It was also a response to the pressure exerted by NGOs, which clamoured for the certification of sustainable forest management, a feeling echoed by public opinion with increased awareness of environmental issues. The trend gradually gained ground and eventually pervaded all circles (academic, political) to the extent of prompting the main companies exporting tropical timber to Europe to introduce into their exploitation system various tools for the sustainable management of state forests. They considered the FMP tool as a central management component to secure the requisite eco-certification for major flourishing markets. Lastly, the socio-economic importance of the forest sector in the countries concerned demonstrates the relevance of the choice. As regards beneficiaries, AFD ventured to deal with forest concession holders, a wise choice at the time and subsequently, all the more so with small concession" holders, as they have limited areas and financial resources. With hindsight, the rationale for such assistance to smallscale holdings to provide them with FMP, drawn from public funds, can however be questioned, given their structural deficiencies and poor governance record. 8

11 Average performance The projects recorded an average performance, as some did not meet their targets. Funding impacted positively on the initial field management activities: recipient companies implemented the FMPs and embarked on certification. In 2010, AFD supported the implementation of management schemes (in terms of designing FMPs) of 5.5 million hectares, quite a significant figure. It goes without saying that large concessions had, singlehandedly, already embarked on management schemes, however, AFD supported and broadened the process in motion. It is worth noting, however, that 50% of those areas are found in one country, namely the Central African Republic (CAR) and that does not guarantee the genuine commitment of private beneficiaries to sustainable management. Grants emerged as the leading instrument from the gamut of financial instruments, with commitments amounting to 29 million euros over the period (excluding debt relief and development contracts) to specifically support small- and medium-scale concession holders. Through this assistance, the latter can efficiently meet one target, with the design of FMP, albeit subsequently raising the issue of ownership. Credit lines rank second with 19.7 million euros, spent in two countries. Their performance is poor (56% of non-disbursed loans in Gabon and 100% in Cameroon 1 ). They are not seemingly attractive (complicated procedures, long timeframes, etc.) to national banks which have monetary overhangs and distrust the sector. Private companies received and used direct loans (PN2 to fund the FMP of three large concessions) worth 6.5 million euros, thereby recording a sound performance on account of the fact that the FMPs have actually been implemented. However, private companies are attracted by these loans owing to AFD s international backing and combined grants with FGEF. The prevailing circumstances did not allow medium-scale concessions to benefit from these credit lines. 1 56% of project cancellation: PGA1042 and PCM1039 to 100 % : PGA1055 and PCM

12 Meaningful impact, though limited in some areas Technically speaking, if the FMP tool developed in the Congo Basin is properly implemented, it can contribute effectively to sustainable management. In 20 years, the large holdings have recorded significant progress by migrating from the mining type of exploitation to the type of forest management that incorporates sustainability. However, these developments are specific to a few large companies and as such, inhibit the FM drive in the Congo Basin. The impact on the other components is poor, especially on the social component, which is still the weakest link. Apart from a few pioneer examples, such as La Congolese Industrielle des Bois (CIB), the socio-economic spin-offs for the local communities are still marginal (in addition to the fact that they did have any return on forest taxes). Similarly, mainstreaming biodiversity has generally focused on large wildlife species and been restricted to a few antipoaching measures. These two components are, undoubtedly, complex, costly and provide little incentive to private entities. It is outside the scope of the forester s duties, thereby questioning the extent of the concession holder s responsibility and funding of those components. Regarding institutional aspects, the expected developments did not crystallize. Although legislation has evolved, relations between the State and the private sector have been characterized by business as usual. FM has highlighted the capacity gap between the State and the private sector, while forest administration lacks the resources to perform its statutory duties, to wit: approving, monitoring and controlling FMPs. Overall appraisal of AFD s role: a pioneer role and ripple effect Among the donors, France, through AFD, pioneered the management process of the Congo Basin Tropical Forest. In the early 1990s, public opinion was significantly sensitized to the wanton exploitation of forest resources and most donors avoided dealing with private entities. AFD swam against the tide. Its commitment attracted a lot of criticism during the early years before it was recognized as relevant by most stakeholders. AFD s major achievement is to have supported the process throughout and to have proven the relevance of a new response that is FMP, which paves the way for a reasonable and sustainable exploitation of the resource despite the challenges encountered. AFD stayed the course of more sustainable management by gradually incorporating a new paradigm and appraising biodiversity conservation and social issues. 10

13 Beyond the performance of projects, it is worth making a more general appraisal of actions and their impacts. AFD s support option proved relevant in the circumstances at the time. Management is today indispensable in countries of the Congo Basin. Practices have started to change. Despite practices pertaining to the context and to the attitude of key stakeholders, AFP successfully fostered dialogue and partnership between various stakeholders which proved critical in the aforementioned stride. Successful activities conducted or implemented with pilot companies had a ripple effect on part of the other companies thereby establishing the rationale of the exercise. The implementation or the actual implementation of a contracting method between the State and private sector in regard to sustainable management of the forest global common wealth is definitely another major achievement of AFD s intervention. These results however remain frail due to the lack of genuine will on the part of some stakeholders, both loggers and forest agencies, to join this process. Lessons and way forward The position and resources of AFD did not favour its work on structural issues which eventually inhibited the expansion and sustainability of achievements in that area. Today, the implementation of FMP and the entire process is constrained by four major factors: Firstly, at the macroeconomic level, it is related to the importance of forests in the national economy: interest primarily lies in the exploitation of this resource for its timber potential; Secondly, on the technical level, it relates to the choice tool, which is ultimately complex, cumbersome and costly, hence the need for adjustment to different contexts and targets; Thirdly, the financial aspect involves finding, at a wider scale, new facilities to fund the social and biodiversity components for the purpose of sustainability; Lastly, the fourth factor relates to various aspects of misgovernance in the countries of the Congo Basin. The response should not be restricted to a mere replacement of one tool or instrument by another. Based on its experience and the trust shown by various groups of stakeholders on the diversity of its instruments, AFD is poised to maintain the lead in the establishment of sustainable management of Congo Basin forests. The benefits of FMPs have to be sustained by specifically streamlining the tool in order to widen the scope to include different types of production forests. 11

14 Financial instruments must move in lockstep with their targets. Guaranteed loans should be maintained to secure the commitment of small and medium-sized loggers to a sustainable management process. Subsidies should be earmarked for the funding of specific activities falling under the social and biodiversity components (including research and inventories). Loans to States and C2D assistance may be used to fund the indispensable structural reforms, alongside other partners (institutional capacity building and improved governance). AFD may participate in multilateral initiatives to come up with new funding mechanisms for sustainable forest management. Discussions regarding payments for forest environmental services provide a window of opportunity. Lastly, it is desirable for AFP to broaden its coverage of governance issues in the sector. Such involvement could consist of (i) designing instruments to track the state of the forest and the implementation of FMP as well as accountability instruments for forest management stakeholders; (ii) providing institutional support to various aspects of capacity focused on the critical components of sustainable management; (iii) sustaining sector dialogue in various national, regional and international circles and (iv) providing support for improved donor coordination. 12

15 SECTION 1. Historical background, French policy and AFD strategy in the Congo Basin 1. Sustainable management, background and state of management in the Congo Basin This section highlights the scope of the study by defining the concept of sustainable management, reporting a few milestones, describing forest management and lastly, reviewing the intervention context and current state of forest management in the four relevant countries of the Congo Basin, namely: Cameroon, the Central African Republic (CAR), Congo and Gabon. Box 1. Key ideas The concept of sustainable forest management is not new. However, it actually burgeoned after the Earth Summit held in Rio and led to a batch of international or regional declarations. It seeks to establish a management system aimed at conserving the countries biodiversity, as well as economic, ecological and social activities at national and international levels. It was formalized by a tool, the forest management plan (FMP), which helps in planning and implementing a sustainable management system of forest resources that incorporates biodiversity conservation and economic development. It should trigger a shift from the mining type of exploitation to sustainable exploitation that gives room for regeneration of the natural capital. The FMP developed for the dense production forests of Central Africa is a French model tailored to the African context (in a rather cumbersome and complex format). In 1990, when AFD entered the Congo Basin forest sector, sustainable forest management was inexistent (management legislation and standards, practices of logging companies). Nowadays, forest management has gained ground in the four countries concerned: out of 31 million hectares of concessions, about 20 million hectares are under management, including 4.4 million holding sustainable management certification (FSC). 13

16 1.1. Sustainable forest management: definition The concept of sustainable forest management or ecological forest management is an ecological forest management system that sets social and environmental criteria, indicators and objectives, in addition to economic objectives to forest management. In so doing, it ensures the conservation of biodiversity and sustainability of all forest ecosystems and concurrently meets the socio-economic needs arising from forest resources, timber, wildlife, flora or landscapes. The idea of sustainable forest management had been an age-old concern to some foresters. However, it was only at the Earth Summit of Rio de Janeiro in 1992 that sustainable forest management, modelled on the concept of sustainable development, actually gained meaning. Unfortunately, at this conference, no convention on the forest was adopted and only a legally binding and operational declaration was adopted. The Rio declaration on forests is indeed a compendium of wishes and international recommendations for sustainable forest management. Sustainable forest management was first defined at the Ministerial Conference on the Protection of Forests in Europe in Helsinki in 1993 and subsequently adopted by the United Nations Food and Agricultural Organization (FAO). Sustainable management was defined as stewardship and use of forests and forest lands in such a way, and at a rate that maintains their biodiversity, productivity, regeneration capacity, vitality and their potential to fulfil, now and in the future, relevant ecological, economic and social functions, at local, national, and global levels, and that does not cause damage to other ecosystems. The International Tropical Timber Organization and the International Union for the Conservation of Nature (ITTO/IUCN), in their guidelines for the conservation and sustainable use of biodiversity in tropical timber production forests (2009), define sustainable management as the process of managing permanent forest land to achieve one or more clearly specified objectives of management with regard to the production of a continuous flow of desired forest products and services without undue reduction in its inherent values and future productivity and without undue undesirable effects on the physical and social environment. Sustainable forest management can therefore be understood as a dynamic and developing concept that seeks to sustain and to enhance the economic, social and ecological benefits of all types of forests for the benefit of present and future generations. 14

17 In the context of the Central African sub-region, such a concept is underpinned by four principles described in the section ATO/ITTO principles, criteria and indicators for the sustainable management of African natural tropical forests 2 : sustainable forest utilization and maintenance of the multiple functions of forests are a high political priority (principle 1); the forest management unit (FMU), designated for whatever form of land-use, is sustainably managed with a view to supplying the required goods and services (Principle 2); the main ecological functions of the forest are maintained (Principle 3); according to the importance and intensity of forest operations, the FMU manager contributes to the improvement of the economic and social well-being of workers in the FMU and of local populations (Principle 4); The principles, criteria and indicators (PCI) are technical instruments adopted by political bodies regionally and internationally, commonly used by States, local governments and Non- Governmental Organizations (NGOs) to assess, and in some instances, to measure and certify in a more or less credible and independent manner, progress toward sustainable management. Despite these efforts and progress, it is worth noting that few forests worldwide, specifically in tropical and sub-tropical areas, are managed in compliance with the forest principles adopted at the United Nations Conference on the Environment and Development (UNCED, 1992) for an array of reasons: lack of financial and human resources, technical and methodological difficulties, inappropriate forest legislation and standards, lack of proper incentives, weak State capacities, lack of stakeholder consultation mechanisms. Furthermore, FMPs, where they exist, still basically focus on timber production, without regard to the other goods and services that derive from forests, and without mainstreaming the social dimension. 2 A collaboration between the African Timber Organization and the International Tropical Timber Organization, ITTO Policy Development Series, No

18 1.2. Milestones in the development of sustainable forest management in Africa The milestones in the development of the concept of sustainable forest management in Africa are highlighted in Appendix 1. The milestones relate to major commitment declarations, although they are still a long way from realization. After the Rio Summit, Central African political leaders played a paramount role in the development of sustainable forest management policies in the sub-region. In 1999, Heads of States, in particular, realized the key and leading role expected of them in the collective effort to achieve sustainable forest management in the sub-region. They set guidelines for the implementation of policies adopted at the international 3, regional 4, sub-regional 5 or national levels. In a rather short time, political leaders of the sub-region defined the operating framework for public, private and civil society stakeholders, especially CEFDHAC and COMIFAC The concept of the Forest Management Plan (FMP) A major shift The concept of sustainable management therefore gradually engendered the idea of ascribing the concept of sustainable management to the mining type of forest exploitation, which had prevailed so far, by using an environmental standard known as sustainable management plan, which is three-dimensional: ecological, economic and social. There was a significant shift, not to say a revolution, in management: recourse of States and foresters to new competencies (managers, management agencies), negotiation and consultation among the major stakeholders (forest agencies, local communities, NGOs, private sector, etc.), mainstreaming of local needs and introduction of planning and evaluation methods, strategies and tools. 3 Forest Law Enforcement, Governance and Trade FLEGT, Rio, ITTO, etc. 4 African Timber Organization ATO, African Law Enforcement and Governance Process. 5 Conference on Central African Moist Forest Ecosystems CEFDHAC, Central African Forest Commission COMIFAC. 16

19 Box 2. Extracts of an article by Fargeot, Forni and Nasi 6 (2004) The concept of exploitation management was developed in Central Africa in the eighties in order to introduce an operational forest management tool in dense forests after successive failures of traditional management methods. It took into account the then specificities of the forest economies of the Congo Basin: Vast potential of unexploited forests and lacking infrastructure. Low population densities with very limited domestic markets. Sector priority is essentially to export quality timber to European markets. Political will of governments to develop local timber processing plants. In the Congo Basin, the concept of management which first emerged at the design level is now gaining ground through a number of field activities based on the concept of exploitation management. It entails the participation of an industrial partner identified as the manager of the forest area allocated to him, at the time of designing forest management (Bertrand et al., 1999). The underlying assumption of this approach is the mutual consideration of forestry and industrial needs, the lynchpin for genuine ownership of management by the administration in charge of management and the forest operator, and its actual implementation in the long run. The prevailing central management system, which was dominated by the State and marginalized the local communities from decision-making regarding forest management and implementation, is in the process of decentralization and negotiation. Interventions in the forest sector which were previously based on timber production and income generation henceforth include various products and services, economic opportunities for communities and individuals and seek to help in reducing poverty and enhancing biodiversity conservation. The analytic and reductionist forest management which is specific to past technical aspects is migrating to participatory management and seeks to use a multidisciplinary and integrated approach involving farmers and local communities. 6 Fargeot, Ch., E.Forni and R.Nasi (2004), Réflexions sur l aménagement des forêts de production dans le Bassin du Congo, [Thoughts on Management of the Production Forests in the Congo Basin] BFT, No. 281 (3) pp

20 A long-term planning tool Sustainable management of a forest requires an initial step which involves designing a forest management plan. The forest management plan as designed and implemented in Central Africa is first and foremost a long-term planning tool which is based on better resource knowledge in general. Through this tool, the geographical and temporal bases of interventions, including their levels, are determined in conjunction with all the stakeholders. The FMP should therefore be considered as a tool, among others, to achieve sustainable management. The implementation of the concept of sustainable management involves a broad spectrum of labels, methods and tools which have been tried and tested while others are still being experimented. However, management methods are still consistent with the development of management plans rather than forest management plans as generally understood. Two management instruments are preferred: the length of the cutting cycle which is based on economic and ecological considerations; defining the diameter at breast height, which takes into consideration, at least ideally, ecological and technical requirements. Nowadays, forestry interventions, selective cutting projects and regeneration concerns are hardly considered due in part by the lack of research findings in the various fields. That does not mean that nothing has been done in this regard. But natural forest research is a long haul and it is only now that the initial findings of several years of research are beginning to emerge. A tool from a kit FMP as a tool cannot single-handedly ensure sustainable management of the resource. Its success in this area depends on a number of other factors, which are often extraneous to forestry, that also deserve consideration, such as land, population pressure, agricultural development and poor governance etc. A model suitable for the specific context of the Congo Basin forests The model adopted in the Congo Basin for natural forests is essentially drawn from the model used in the artificial forests of the Northern Hemisphere which was designed after a detailed resource inventory. It is however much more complicated in the case of a tropical forest given the heterogeneous and diverse nature of species. 18

21 Most of the specialists interviewed acknowledged that prior knowledge of the resource, as developed in the African FMP model, favours sustainable resource management. Yet, other models exist, such as the model currently used in the Brazilian Amazon (see Section 9). The applicable principle in this case is a very simplified management planning approach, based on the geographical demarcation of the forest management area into felling sites, according to the equisurface principle, for the purpose of meeting priority timber needs. Thus, knowledge of the resource is not exhaustive initially. Inventories are conducted in the harvestable areas over the course of harvesting, while efforts are made to monitor and implement conservation actions, in addition to social actions 7. This approach has a disadvantage. Two cardinal management principles are not respected: the equal volume of the annual allowable cut and the period of rotation of the cutting cycle. Conversely, the concept of low-impact logging is mainstreamed, as it is with tropical African forests. Another option may be the volume-based approach, with the attendant risk of high grading and selective cutting, which does not favour biodiversity conservation. The FAO, in May 2001, in a bid to report efforts made in forest management over the last 20 years in Central Africa, launched a new initiative entitled In Search of Excellence as part of the new FAO/Netherlands partnership programme on the conservation and sustainable management of tropical dense forest ecosystems in Central Africa. This study acknowledges the existence of other approaches and methods, demonstrates their implementation at varying levels and in different circumstances. This study and some of its findings will be revisited. 7 Cassagne, B (2006), Gestion forestiere durable adapter, conserver, produire, ATIBT Newsletter, No

22 Box 3. Forest Management (FM) for non-foresters The concept of forest management is an age-old concept that was introduced in developed countries to manage forest resources in a more appropriate and sustainable manner. In the context of the Congo Basin, it was historically relevant to correct a forest exploitation method that was destructive to resources (forest or animal) which caused over-logging and especially, yielded very little socioeconomic benefits for the population. The overarching objective was to stop issuing uncontrolled felling permits without a vision for the sustainability of the resource. The ensuing concession system thus sought to entrust a private concessionaire with the management of a large forest area provided it is managed in a sustainable manner. The forest management system enhances knowledge of the forest resources found in the entire concession (types of tree species, heights, etc.). Accordingly, it is possible to plan exploitation based on resource regeneration. Concessions are divided into logging areas, with only a portion exploited for a cycle of years, for instance, in a cutting cycle. Hence, by the time logging resumes in the initial logging area, the forest resources would have regenerated. Harvesting is carried out after checking the tree diameters to ensure the continuous growth of young trees. Furthermore, forest management has been enriched by other fields: (i) social dimension, logging in a concession should yield socio-economic benefits for the riparian population; (ii) biodiversity dimension; forest exploitation should seek to conserve existing wildlife. 20

23 1.4 Background and overview of management in the four countries concerned This section will highlight the context of the four intervention countries, specifically the historical context of the nineties, to better situate and understand AFD s action, before reviewing the current situation. Similar context The four countries under consideration generally boast of pretty similar forest profiles, with similar forest resources: dense and generally, covered forests, except for CAR, parts of which are primary and others, secondary. The deforestation rate is quite similar and rather low, hovering around 0.1% for dense forests, according to official sources 8. It should be recalled that in the early nineties, no forest had a management scheme, while the first experimental FMPs had barely been launched. In the early nineties, the institutional arrangements were quite similar, as forest concessions or forest management were missing in legislation and regulations. More often than not, exploitation was authorized by logging permits (or similar authorizations) on a volume basis. These countries followed a rather similar course, as they enacted forest laws and codes, followed by standards which introduced concession systems and forest management requirements (Cameroon ranked first in this area in 1994). Additionally, several countries implemented economic and fiscal reforms in the forest sector with the support of the World Bank (WB). Specificities notwithstanding The four countries do not only bear similarities. Accordingly, forest areas and economic, population and agricultural pressures differ. The Central African Republic is a forest country with only 4.6 million hectares of dense forests while the other three countries have larger areas ranging from 16.8 to 20.1 million hectares. Owing to its small forest area, forest management in the Central African Republic is an easier task, especially because it is a compact block comprising a single stand for the south-west block concerned (a second large forest of 1.6 million hectares is found in the south-east of the country at Bagassou, although it is so far not considered for management) Report of Observatory for Central African Forests (OFAC) on the State of the Congo Basin Forest. 21

24 Among the three major forest countries, Cameroon has the least allocated area (5.7 million hectares) and smallest concessions, while Gabon and Congo boast of vast areas (12 and 10.6 million hectares respectively) with large concessions of hundreds of thousands of hectares in the main forest areas of these countries (there are also areas with "small concession holder" permits in these two countries). Population and agricultural pressures are also different: high in the Central African Republic and in some forest areas of Cameroon and South Congo, but low in Gabon and Northern Congo. The most striking differences are visible in the economic and political frameworks. Two countries, Gabon and Congo, are endowed with oil resources and the timber sub-sector is not the backbone of their economy (although, there is an ongoing tendency to find alternatives to non-renewable energy resources). On the contrary, in the Central African Republic and Cameroon, the forest sector is the leading economic sector, notably in terms of employment and exports. It is also worth noting that Congo and the Central African Republic were gripped by severe political turmoil and instability, thereby making conflict resolution their priority for several years (penalties for outstanding payments imposed on the CAR, Gabon rose to a middle-income country, thus restricting the use of grants subsidies, as it obtains in Congo today). The differences can be summarized as follows: Gabon and Congo, countries with large forest areas, most of which have been allocated, with low or average pressure and a flourishing oil sector which drives their development and raised them to the status of middle income countries; Cameroon has large forest areas and fewer allocations compared to its neighbours, and the timber sector is vital for the country; the CAR, a small forest country with a forest area exposed to significant pressure, where the timber sector is vital for the economy, but which has been rocked by a protracted political unrest. AFD s involvement in the Congo Basin forest sector It is in this context of opportunities and threats that AFD started and developed its interventions. In terms of opportunities, AFD entered a rather unexplored sector (few interventions from other donors), though essential for the countries development, and when forest management was a novel field with attractive opportunities. AFD also came in a sector which was backed by the group alongside PROPARCO, through assistance to forest companies in the nineties which 22

25 enhanced its knowledge of the sector and countries, established contacts with several forest groups, and provided an opportunity for sustainable action. However, the context was constrained by several factors. Forest management in African tropical forests had not gone beyond the conceptual stage, declarations, and the early pilot projects, leaving no room for planning. The large companies confronted with this concept were reluctant and unwilling to enter into any contract with the State, which they distrusted. Furthermore, they feared that the first companies to join the process would get a raw deal as they would have to bear extra costs and responsibilities. Moreover, in the early nineties, the legal and regulatory framework was not conducive to the establishment of FMPs. Stakeholders operated in a weak institutional framework characterized by deficient State capacities, poor governance, rent-seeking and sharing of profits between the State and private sector, all of which inhibited forest management and led AFD to find motivated and interested partners. Development of forest management in the four countries To understand how the efforts undertaken by the various stakeholders has paid off today, there is a need to review the past few years and consider developments in areas under forest management in the Congo Basin. The figures are culled from different sources, notably the interactive maps of the World Resources Institute (WRI) of the four countries, OFAC s State of the forest (2008), FAO s Evaluation of the world s forest resources (2010) and country visits. The discrepancies found in certain cases can be explained by the use of imprecise cartographic data in some countries, and in some cases, varying calculation methods. The data presented below will highlight the disparities according to sources. However, these gaps are shrinking as data collection is increasingly accurate. From no managed hectare in the early nineties, the Congo Basin sub-region has recorded significant progress in forest management in 20 years. Today, 31 million hectares have been allocated as forest concessions, representing 51.3% of major forests identified in these countries, including: 19.9 million hectares of forest concessions under management (representing 32.5% of major forests); areas with State approval of management plans represent between 11.2 million hectares in 2008 (Chapter 1, State of the Forest in Central Africa, Sub-Regional Report, OFAC) and 13.8 million hectares in 2010 according to data collected by the mission; 6.3 million hectares certified, representing 10.4% of major forests (all certifications considered), including 4.4 million FSC certified hectares; 23

26 Table 1. Forest management in the Congo Basin in 2010 (in hectares) National Large Allocated Concessions Certified territory forest areas under areas areas* management Gabon 26,208,972 21,086,856 12,000,000 6,368,424 1,873,505 Congo 34,281,549 18,493,992 10,648, ,818, ,891, Cameroon 46,632,582 16,876, ,660,375 4,650,261 2,600, CAR 62,065,458 4,616,199 3,037,673 3,037, TOTAL 61,073,190 31,346,443 19,874,813 6,365,135 In % * According to OFAC s proposed classification in State of the Forests (2008) : dense, low-lying forests, sub-mountain forests, mountain forests, marsh and mangrove forests. Not listed are savannah forests, mosaics of forest and culture, dense deciduous forests and other vegetation. Source: OFAC in State of the Forests in 2008 Figure 1. The state of forest management in the Congo Basin in ,000,000 20,000,000 15,000,000 10,000,000 5,000,000 Large forest areas Allocated forest concessions in ha Concessions under management in ha Certified Areas in ha 0 Gabon Congo Cameroon RCA Source: OFAC, State of the Forests in North: 5,818,454 ha + South 4,829,851 ha (see Appendix 3 for details). 10 Only northern concessions were considered, as the process has barely started in the South. 11 Including Loundoungou, that may be soon certified, yields 2,444,306 ha. 12 NIS (2006) sets the national territory at 47,565,000 ha ,000 ha with FSC certification and 1,700,000 certified OLB andtltv. 14 The IFB Ngotto concession (PEA 169) with a total area of 186,596 was OLB certified, but the certification has been provisionally suspended, due to the economic crisis. 24

27 There are two major types of certification: timber origin and legality certification (OLB) or the Timber Origin and Legality Verification (TLTV), which certifies the legality of timber (issued by a private entity like VERITAS). FSC is a sustainable management certification that ascertains compliance with forest management plans. Table 2 recaps the figures of March 2010 cited by Professor Delvingt, though not directly comparable with table 1. It shows that the certified areas do not refer only to areas which fail to meet FSC sustainable management standards, but also includes legally exploited areas (OLB and TLTV), notably in Cameroon. Table 2. Certification in the Congo Basin in March 2010 Certified areas (FSC) Certified areas (OLB and TLTV) Gabon 1,304, ,842 Congo 1,907,843 1,350,029 Cameroon 636,056 2,655,703 CAR 0 0 TOTAL 4,417,404 4,844,574 Source: Delvingt, W. in «Les certifications forestières, outils de promotion de la légalité et de la gestion forestière durable». While the steady growth of managed areas is commendable, it should not shield country weaknesses and disparities. Data on forest concessions under management should be considered with caution because it does not necessarily imply the adoption, implementation or even design of a management plan. Indeed, some concessionaires operating on provisional contracts have not started designing their FMP. FSC certified concessions alone comply with management plan requirements and undergo periodic inspections. Based on data published in March 2010 and cited by Professor Delvingt, they total 4.4 million hectares. Figure 2 depicts the situation from a different perspective. It is observed that: the Central African Republic, although the largest national territory, totalling 62 million hectares, has the smallest forest area (7%). In absolute terms, the area of forest concessions in the Central African Republic is also low (3 million hectares) but, in terms of forest cover in the country, it represents 66%. Conversely, certification has been halted (the sole concessionaire in the the process had to suspend its OLB certification for financial reasons); 25

28 Cameroon has the second largest area, totalling 46 million hectares, including 36% of large forests. Yet, the country ranks last in allocated forest concessions (34%) and in concessions under management (28%) in relation to large forest areas. Yet, this country is well ahead in the forest management process with more than 80% of concessions already under forest management, compared to allocated concessions. The same pattern is observed in certification, with larger areas than Gabon and Congo. Cameroon spearheaded forest management; Congo has the third largest area among the countries, with 34 million hectares. Overall, 54% of the country covered by forests, including 58% allocated as forest concessions. In this regard, the country is quite comparable to Gabon, where 57% of major forests have been allocated as concessions. Management data follows the same trend. 31% of large forests in Congo have management schemes compared to 30% in Gabon; Gabon has the smallest area, totalling 26 million hectares, though in absolute terms (as well as in percentage), the largest forest area (21 million hectares, that is, 80% of the national territory). Figure 2. Distribution of forest areas by category and country 70,000,000 60,000,000 50,000,000 40,000,000 30,000,000 20,000,000 10,000,000 0 National territory in ha 80% 54% 36% 57% 58% 30% 7% 34% 31% 66% 28% 66% Large forest areas Allocated forest concessions in ha Concessions in the process of Gabon Congo Cameroon CAR 9% 10% 15% 0% Certified areas Source: OFAC, State of the Forests in

29 Picture 1. Ferry crossing for loggers in a certified concession in North Congo. 27

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31 2. French strategic policies in the Congo Basin, strategy and history of AFD s intervention, post-evaluation framework This section will first examine France s strategy, then AFD s, in the forest sector. A framework will be defined and subsequently used in the evaluation sections of this report. Lastly, AFD s major interventions between 1990 and 2010 will be reviewed. Box 4. Key ideas Following the publication French Cooperation and Forestry in Africa by the Ministry of Cooperation (1994), it was in 2004 and 2006 that several documents chronicled the French strategic thrusts in the forest sector such as the White Paper or the Tropical Forest Action Plan. The focus remains the economic development and sustainable management of the resource. It has broadened over the years with the mainstreaming of biodiversity and social issues, institutional issues, climate issues as well as governance issues. AFD s policy hinged on international documents and MFEA commitments. In its interventions, AFD s objective was to achieve sustainable development and exploitation through the design of forest management plans under the framework of a partnership between the State, owner and responsible for forest management, and forest companies holding long-term concessions. It is on this basis that AFD made strategic shifts in line with emerging issues it deemed relevant and fitting into the context and opportunities that prevailed at the relevant periods. Accordingly, the AFD strategy may be considered as pragmatic and flexible. The mission developed a post-evaluation framework. Four main types of interventions have been identified: (i) a batch of financial assistance to the forest sector (PROPARCO); (ii) AFD s financial assistance to major concession holders engaged in forest management planning; (iii) three main technical and financial support projects to small concession holders (with the specific case in Central African Republic of the support project to develop forest management plans PARPAF); (iv) recently, new projects focus on various fields; conservation, carbon fund, REDD and NGO, and governance. AFD's intervention was guided by a global vision at the start that was subsequently embodied on the field, in step with the different time frames and the changes in contexts and stakeholders. 29